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AURORA PUBLIC LIBRARY BOARD
HEALTH AND SAFETY POLICY STATEMENT
The Aurora Public Library is committed to maintaining a safe and healthy workplace environment and encouraging employee interest and responsibility for safety. This Policy is directed to ensuring the well-being of employees and the undertaking of every reasonable precaution for the protection of employees.
The Aurora Public Library Board is vitally interested in the health and safety of its employees. The Board as the employer is responsible for worker health and safety. It is committed to development and maintenance of a program which will fulfill this responsibility. To this end, the Library Board is dedicated to reducing the risk of injury and will comply with legislative requirements and with the Health and Safety policies and procedures as they apply to design, operation and maintenance of facilities and equipment.
It is in the best interest of both the employer and its workers to commit jointly to health and safety in every workplace activity. Therefore, the Board calls upon its employees to join in the creation and maintenance of a safe work environment and to protect their own health and safety by working in compliance with the law and with any safe work practices established by the employer.
The achievement of the health and safety goals demands commitment, active support and involvement of individuals involved with library operations at every level:
* It is the responsibility of each employee to work safely and report all unsafe or unhealthy conditions
* It is the responsibility of Managers and Supervisors to ensure that employees work safely and that safe and healthy work conditions are maintained
* It is the responsibility of contractors and their staff to meet or exceed Library health and safety program requirements
* It is the responsibility of all employees to be committed to furthering their education regarding health and safety
Working together on a foundation of commitment, enthusiasm and effort, the Library is firmly resolved to be successful in the Health and Safety Program which will ultimately contribute to the effectiveness of the Library's operation.
AURORA PUBLIC LIBRARY BOARD
WORKPLACE HARASSMENT POLICY
Aurora Public Library is committed to the prevention of workplace harassment by providing a work environment in which all individuals are treated with respect and dignity.
Workplace harassment means engaging in a course of vexatious comment or conduct against a worker in a workplace that is known or ought reasonably to be known to be unwelcome. Harassment may also relate to a form of discrimination as set out in the Ontario Human Rights Code, but it does not have to.
The Aurora Public Library Board is vitally interested in the health and safety of its employees. The Board as the Employer is responsible for worker health and safety. It is committed to the development and maintenance of a workplace harassment program that implements this policy. To this end, the Library Board will comply with legislative requirements under the Occupational Health and Safety Act.
This policy is not intended to limit or constrain the reasonable exercise of management functions in the workplace. Examples may include changes in work assignments, scheduling, job assessment and evaluation, workplace inspections, implementation of dress codes and disciplinary action.
Workplace harassment will not be tolerated from any person in the workplace. It is in the best interests of both the Employer and its workers to commit jointly to the prevention of workplace harassment through a system of shared responsibility.
* It is the responsibility of the Employer to investigate and deal with all concerns, complaints or incidents of workplace harassment in a fair and timely manner while respecting workers' privacy to the extent possible.
* Employees are encouraged to report any incidents of workplace harassment.
Nothing in this policy prevents or discourages a worker from filing an application with the Human Rights Tribunal of Ontario on a matter related to Ontario's Human Rights Code within one year of the last alleged incident. A worker also retains the right to exercise any other legal avenues that might be available.
The workplace violence policy should be consulted whenever there are concerns about violence in the workplace.
______________________________________________________________________________________
AURORA PUBLIC LIBRARY BOARD
VIOLENCE IN THE WORKPLACE POLICY
Aurora Public Library is committed to the prevention of workplace violence by providing a safe and secure working environment. This Policy is directed to ensuring the well-being of employees and the undertaking of every reasonable precaution for the protection of employees from violence in the workplace from all possible sources.
Workplace violence means:
* An attempt to exercise physical force against a worker, in a workplace, that could cause physical injury to the worker,
* The exercise of physical force by a person, against a worker, in a workplace, that causes or could cause physical injury to the worker,
* A statement or behaviour that it is reasonable for a worker to interpret as a threat to exercise physical force against the worker, in a workplace, that could cause physical injury to the worker.
The Aurora Public Library Board is vitally interested in the health and safety of its employees and, as the Employer, is responsible for worker health and safety. It is committed to the development and maintenance of a workplace violence program that implements this policy. To this end, the Library Board is dedicated to reducing the risk of violence in the workplace and will comply with legislative requirements under the Occupational Health and Safety Act.
Violent behaviour in the workplace is unacceptable from anyone. It is in the best interests of both the Employer and its workers to commit jointly to the prevention of workplace violence through a system of shared responsibility.
* It is the responsibility of the Employer to assess the risks of workplace violence, ensure this policy and the supporting program are implemented and maintained, and that all workers and supervisors have the appropriate information and instruction to protect them from violence in the workplace.
* It is the responsibility of Managers and Supervisors to adhere to this policy and the supporting program. They are responsible for ensuring that measures and procedures are followed by workers and that workers have the information they need to protect themselves.
* It is the responsibility of each employee to work in compliance with this policy and the supporting program. Workers are encouraged to raise any concerns about workplace violence and to report any violent incidents or threats.
______________________________________________________________________________________
The Employer pledges to investigate and deal with all incidents and complaints of workplace violence in a fair and timely manner, respecting the privacy of all concerned as much as possible.
The workplace harassment policy should be consulted whenever there are concerns about harassment in the workplace.
______________________________________________________________________________________
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Tony Kershaw
Head of Law and Governance
03302 222535 (Direct)
[email protected]
01243 530439 (Fax)
www.westsussex.gov.uk
County Hall Chichester West Sussex PO19 1RQ Switchboard Tel no (01243) 777100
Katherine De La Mora
25 February 2013
Chanctonbury County Local Committee
Members are hereby summoned to a meeting of the Committee to be held at 7.00pm on Wednesday 6 March 2013 at The Steyning Centre, Fletchers Croft, Steyning, BN44 3XZ
Tony Kershaw
Head of Law and Governance
Indicative Timetable
| Item 1 | Chairman’s Welcome and Introductions |
|---|---|
| Item 2 | Declarations of Interest |
| Item 3 | Minutes |
| Item 4 | Urgent Matters |
| Item 5 | Progress Statement |
| Item 6 | Tanyard Lane, Steyning - Proposed Traffic Regulation Order |
| Item 7 | Traffic Regulation Order Priorities |
| Item 8 | Community Safety in Chanctonbury |
| Item 9 | Flooding Update |
| Item 10 | Chanctonbury Community Initiative Funding |
| Item 11 | Appointment of Authority School Governors |
| Item 12 | Talk With Us |
| Item 13 | Urgent Action |
| Item 14 | Date of the next meeting |
Agenda
1. Chairman's Welcome and Introductions
Members of Chanctonbury CLC are Pat Arculus, Lionel Barnard, Derek Deedman and Frank Wilkinson (Chairman).
2. Declarations of Interest
Members and officers must declare any pecuniary or personal interest in any business on the agenda. They should also make declarations at any stage such an interest becomes apparent during the meeting. Consideration should be given to leaving the meeting if the nature of the interest warrants it. If in doubt contact Democratic Services before the meeting.
3. Minutes
To confirm the minutes of the meeting of the Committee held on 5 December 2012 – attached (buff paper).
4. Urgent Matters
Items not on the agenda that the Chairman of the meeting is of the opinion should be considered as a matter of urgency because of special circumstances.
5. Progress Statement
The document contains brief updates on statements of progress made on issues raised at previous meetings – attached
The Committee is asked to note the report.
6. Tanyard Lane, Steyning - Proposed Traffic Regulation Order
Report by Director of Service Operations and Head of Highways and Transport – attached.
Pressures of on street parking on Tanyard Lane have caused concern for some residents and road users resulting in the proposed Traffic Regulation Order to introduce yellow line waiting restrictions.
The Committee is asked to consider the concerns raised through the consultation and, having considered that these outweigh the benefits to the community, approve the following:
1. the proposed Traffic Regulation Order be withdrawn
2. measures be introduced that improve road safety but do not effect parking or disadvantage residents.
7. Traffic Regulation Order Priorities
Report by Director of Communities Commissioning and Head of Highways and Transport – attached.
The Committee is asked to approve the Traffic Regulation Order priorities for the Chanctonbury CLC area for 2013-14 as set out in the report.
8. Community Safety in Chanctonbury
Sergeant Bob Trevis, Sussex Police, will provide a verbal update on local policing issues.
9. Flooding Update
The Committee will receive a short presentation updating on flooding in the Chanctonbury CLC area. This will include details of Operation Watershed, community involvement and the key findings of the Flood Investigation Report in relation to the Chanctonbury CLC area. The Flood Investigation Report can be found on the County Council's website:- http://www.westsussex.gov.uk/living/environment_and_planning/environment/flooding_ and_water_management/f lo o di ng/flood_investigation_within_wes.aspx
10. Chanctonbury Community Initiative Funding.
Report by the Head of Law and Governance – attached
The report summarises the Community Initiative Funding applications that have been received since the last meeting. The Committee is invited to consider the applications and allocate funding if appropriate.
11. Appointment of Local Authority Governors
Report by the Head of Learning – attached.
The report sets out the criteria for the appointment of authority governors. The Committee is asked to approve the appointments and reappointments to governing bodies as set out in the report.
12. Talk with Us Open Forum
To invite questions from the public present at the meeting on subjects other than those on the agenda. The Committee would encourage members of the public with more complex issues to submit their question before the meeting to allow a substantive answer to be given.
13. Urgent Action
The Committee is asked to note the following Urgent Action that has been processed since the last meeting of the Committee:
Greyfriars Lane and Church Street, Storrington – proposed Traffic Regulation Order (TRO): Since considering the Traffic Regulation Order at its meeting on 5 December 2012 (decision CBY07 (12/13)), the Chanctonbury County Local Committee was provided with additional information on the safety aspects of the TRO. A site visit took place on 19 December 2012. As a result, the Head of Law and Governance in consultation with the Chairman of the Committee has authorised the following under Standing Order 61:
1. That the waiting restrictions linked to the new development (St. Joseph's Orchard) should be implemented straight away.
2. That the waiting restrictions south of the development (junction of Greyfriars Lane and School Lane), should not be introduced until the car-park on the land north-east of St Joseph's Abby is operative.
3. That the restrictions north of Browns Lane should not be changed and remain as they are.
14. Date of Next Meeting
The next meeting of the Committee will take place on 12 June 2013, at 7.00 pm (venue to be confirmed).
Members wishing to place an item on the agenda should notify Katherine De La Mora via email: [email protected] or phone on 0330 22 22535.
To: all members of the Chanctonbury County Local Committee
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CITY OF COQUILLE JOB DESCRIPTION
POSITION :
MUNICIPAL SWIMMING POOL ASSISTANT MANAGER
RESPONSIBLE TO : POOL MANAGER
SALARY :
Starting salary will be determined by funding, experience, and training level.
CLASSIFICATION : Seasonal, Temporary Full-Time
LOCATION :
Coquille Municipal Pool Coquille Community Building Coquille, OR
INTRODUCTION
With minimal supervision from the Pool Manager, supervise and conduct operations of the municipal pool. Supervise, oversee and assist in scheduling life guards, swimming lessons and other aquatic events at the municipal swimming pool.
MAJOR DUTIES AND RESPONSIBILITIES :
- Assist in training and managing staff in proper procedures and safety practices; managing weekly work schedules and observing and reporting on performance of staff.
- Sell pool tickets/passes; collect fees, account for and balance daily receipts.
- Schedule use of pools for the general public including regular sessions, lessons, rentals and special events.
- Coordinate and schedule swim lesson programs
- Monitor water quality of pools as outlined by the Department of Health Standards
- Interact positively and in an exemplary fashion with customers, respond to inquiries and complaints from customers; and provide information as appropriate.
- Perform related duties as assigned.
.
Job Description Swimming Pool Assistant Manager page 2.
KNOWLEDGE AND ABILITIES:
KNOWLEDGE OF:
Proper operation of swimming pool maintenance and equipment.
Safety practices used in and around the operation and maintenance of public swimming pools.
Water safety, water rescue, CPR and first aid.
ABILITY TO:
Perform specialized duties in the care and maintenance of the City pools.
Understand and follow oral and written directions.
Cooperate and work effectively with team and customers.
Maintain work pace appropriate to given work load.
Work courteously and tactfully with customers and employees.
Responds to citizen complaints and requests
EDUCATION AND EXPERIENCE:
Previous pool management and supervisory experience preferred. An equivalent combination of education and experience which satisfactorily demonstrates the knowledge, skills, and ability to perform the job duties may be considered.
LICENSES AND OTHER REQUIREMENTS:
Current Lifeguard, Water Safety Instructor (WSI) preferred, First Aid and CPR certifications; valid driver's license and use of private vehicle. Job related mileage is reimbursable.
Job Description Swimming Pool Assistant Manager page 3
WORKING CONDITIONS:
ENVIRONMENT:
Outdoor environment, in and around swimming pool and facilities, in all types of weather conditions and around children, noise and distractions.
PHYSICAL ABILITIES:
Speaking to exchange information on the telephone and in person; seeing and hearing to conduct work. Meet lifeguarding qualifications for water rescue, CPR and first aid. Must be able to occasionally lift 40 pound containers and furniture; service the filtration system valves; climb into pools and onto lifeguard chairs.
HAZARDS:
Accidents which may occur around swimming pool; wet, abrasive and/or slippery surfaces, exposure to pool chemicals; extended exposure to sun light.
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ACT Programs
PlayStation Etiquette
Monday—Thursday 12-3:00 pm
Welcome
Visit us on the web... www.actprograms.org
212-316-7530
Cathedral of St. John the Divine 1047 Amsterdam Ave. NY, NY 10025
To ensure the safety and comfort of our PlayStation community we ask that you please observe these guidelines:
- Sign in at the main office when you arrive. Photo ID is required.
- Remove all shoes before walking on the mats. (We recommend skid-free socks.)
- Eat your lunch in our kitchen, but not in the gym area.
- Do not bring food or beverages into the gym area.
- Supervise your child at all times.
- Encourage your child to share and cooperate.
- Do not change diapers in the gym area or kitchen area. Changing tables are located in both bathrooms.
Cost is $6 per child in cash, exact change.
We offer 10-pass tickets for $50.
PlayStation is closed when city schools are closed. See our calendar for closings.
The 2015-16 PlayStation season ends 3/17.
Tours are available for our Toddler, Nursery, and Preschool programs.
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Development of a new testfield to model errors in terrestrial laser scanner data
Elnaz Mohammad Zanjanipour 1 , Masood Varshosaz ,2 , Mohammad Saadat Seresht 3
1.Photogrammetry graduate student, School of Surveying, Khajeh Nasir Toosi University of Technology,Tehran,iran [email protected]
2.Assistant Professor of Surveying Engineering, School of Surveying, Khajeh Nasir Toosi University of Technology,Tehran,iran
3. Assistant Professor of Surveying Engineering, Technical School Campus Two, Tehran University,Tehran,iran
[email protected]
Abstract
Laser scanner technology due to having capabilities in comparison with other surveying methods, is favoured by the users increasingly. However, almost there are different factors that affected the results of this instrument. Thus, the accuracy of the scanner is limited extensively by the systematic instrument errors and thus must be calibrated. In fact calibration is a prerequisite for extracting 3D precise and reliable data from point clouds. Test field has a great role in calibration procedure. so different test fields have been assessed for this purpose so far. In this paper, a new method is presented for constructing a test field in a virtual form. one of the advantages of this method is that through this method the instrument can be calibrated everywhere the project is executed but in the laboratorial conditions.
Key words: Laser scanner, Calibration, Test field.
1.Introduction
Laser scanners as the rather new technologies in the field of topography are developing day by day and determine the point coordinates through measuring the distance and angle such as total stations[2]. As it is obvious, Due to mechanical imperfections, it is impossible to design an instrument exactly to theoretical planning. There are discrepancies between the real instrument and the ideal instrument, and these are called instrumental errors[1].
Calibration is a set of operations that establish, under specified conditions, the relationship between values of quantities indicated by a measuring instrument and the corresponding values realized by standards. [1]. Calibration in the laser scanners includes two general sections:
Separate calibration of each part of system
By this sort of calibration, each part of the system including camera and the laser scanner are analyzed separately and calibrated. This sort of calibration is applied in both radiometric and geometric forms.
calibration of whole system
In this section, in addition to the camera calibration, the relationship of its coordinates with laser coordinates is specified.
In this paper, the purpose is to present a new method for calibrating the scanner. Towards, various techniques have been presented so far that are classified briefly as follows:
1-Self calibration
By this method, the modeling coefficients of scanner errors and point coordinates are gained simultaneously [3]. In this mode, usually there is no information about the object that is scanned [3]. The object is scanned from various stations through laser. Whereas the scanner has a lot of similar data between different stations, these data can be used as constraints for modeling the error elements and specifying the external orientation parameters of laser scanner for georeferencing the point coordinates in the different stations. It is notified that considering the structure and function of laser scanner, the coordinates of the points are specified while scanning and their improved coordinates are computable after calibration.
2- Laboratorial calibration:
By this method, the calibration is usually applied in the lab environment with using some specified constraints [5]. In this method, components of distance measurment system and angle measurement system are investigated separately in specific experimental setups. [5]. Different devices such as graduated lines together with special targets which move on these lines with small wagons manually (is called track line) for investigating the accuracy of distance measurement system, an electronic unit for measuring the signal frequency that has been sent by the laser scanner are located in the lab environment for verifying their accuracy [5]. so the calibration of different parts of laser scanner are applied through which. This kind of calibration requires the precise knowledge from scanner's error model and however this knowledge is limited due to different designing characteristics and requires facilities such as base length of calibration that may be not available for the user [5].
Laboratorial calibration in general status, due to requirement of special equipments is often very costly and expensive. Therefore, different test field laboratorial methods have been designed so far in which the targets with different shapes are placed in an enclosed area, through their scanning, control environment is provided for modeling the different scanner errors. Samples of these test fields are seen in figure 1 [6]. As it is specified in these samples, calibration can be applied in point based mode or plane based mode [6]. In first method, targets are designed as circular labels and their centers are used in calibration. While, in second method, laser coordinates that have been returned from the surface of plane-based objects(that are usually wooden or ceramic) are applied [6]. However, these objects have been distributed spatially in the environment around the laser scanner and are measured through it. Point clouds are compared with the data which have higher accuracy with respect to the laser scanner and are deemed as reference amounts for this device (such as measurements of total stations or photogrammetry) and with difference quantities, calibration computations are applied. Forming a calibration test field is not a complex subject generally and thus most of TLS users can calibrate these instruments. In two below images, test fields of point based and plane based targets have been displayed [6].
right:Sample of a test field with point targets.left: Sample of a test field with plane targets[6] Fig1.
Laboratorial methods require expanded, under control and calibrated laboratorial area, and constituting this area in the executive projects is not possible or is very costly and timeconsuming. The purpose of this paper is to present a new method in which through using the minimum test field, laboratorial conditions is arranged. In fact, in the above methods, 3D area was constituted and laser scanner moves in that area. But in this case, only one object is stabilized in a place and 3D area is constituted virtually through laser movements. Utilized object that the targets are placed there on, here is a plate that some point based targets have been set on that. One of the advantages of this method is that the board is portable and provides the conditions for calibrating the device near every place that project is executing but in the laboratorial conditions. Note worthy point in this process is that only the variations of short waves length (high frequency) are identifiable and not variations of long waves length.it Means that in different lengths, the plates are not verifiable in proportion to each other and this method provides inner-plate variations and not the plates in proportion to each other. In this method, against the previous methods in which all the lab area is covered with a lot of point based or plate based targets and it requires spending time and cost, here the desired calibration and test field through a plate and is constituted completely virtual. In continue the constituting procedure of this test field and its assessment process is discussed.
2.Data and material:
Considering the accessibility of laser scanner Rigle LMS Z420i, this type has been chosen for executing the test. This device has a distance measurement system with the range of 800 m without using reflector and it's measuring speed is 12000 point/second [4]. The visibility angle has a rotation of 360˚ on the horizontal plate around the vertical axis and 80˚ on the vertical plate. It has a precision of 10mm that can increase by repeating the measurments up to 5mm, and its vertical and horizontal scanning mechanism is rotationalvibrational and rotational [4]. Riscan pro software that is used in the Rigle system and is applied for reading and processing the coordinate of points, is considered as another saliencies of this system [4]. For fulfilling this project, in addition to the terrestrial laser scanner, the following equipments are used for processing including a MDF wooden plate, size characteristics and other specifications of that will be described, targets, digital camera and software.
Whereas the accuracy of photogrammetry method is higher (hundredth and tenth mm) than laser scanner [5], gained data aiding this method are applied as a precise method in proportion to the resulted data from laser scanner. Figure 2 displays the used laser scanner and digital camera.
Fig2.right:terrestrial laser scanner Riegl LMSz420i.left:digital camera canon powershot pro IS.
Used white MDF wooden plate was chosen in the measure of 60*60cm. for gaining the better accuracy, the board was coated with black label and nine Rigle circular targets with 3cm diagonal were pasted on the board. 2 other targets were placed on the horizontal direction for more precise analyzing the changes. In fig 3 the used board is showed.
.
3.Research Methodology
3-1- Observations and calibration of board through photogrammetry method aiding australis software
30 photos are taken by digital camera (from 15 stations so that in each location, the camera takes a photo, rotates 90˚ and another photo is taken in order to remove or reduce the dependency of camera parameters.), then the photos are entered into Australis software and process is applied to specify internal calibration parameters of camera through a free adjusment,and moreover 3D coordinates of targets are gained in the board area by considering the central target as the origin of this coordinate system. The coordinates have been obtained with accuracy of 0.52, 0.47 and 0.50 mm respectively in the x, y and z directions and observing the error ovals indicates that the errors exist in all directions monotonously. The designed network via photogrammetry method and the targets errors oval after adjustment in this method, have been showed in fig 4.
Fig4.right: designed network in photogrammetry method. left: targets errors oval after adjustment in Australis software.
3-2 observations via laser scanner
The board was installed on a heavy tripod (for preventing the probable movements) and was settled in a fixed place. The laser scanner scanned in this height and in the distances of 10-15-20-25-30-40-50-60-70-80 meters from the board. moreover, at distances of 20m and 60m a 45˚ to 45˚ rotation for 360˚ coating (in 8 steps) and also in 4 vertical directions in 20m distance in the angles of 40˚, 20˚, -20˚ and -30˚, and in 60m distance in the angles of 20˚, 30˚, -20˚ and -30˚, (the cause of this non-symmetry was disability of device for reading) and the targets were scanned finely(fine scane). A diagram of scanner settlement place in proportion to the board in 15m distance has been displayed in fig 5.
After fulfilling these observations, test field was constituted virtually as can be seen in fig 6.
Fig6.:virtual test field that is constituted from the laser scanner movements
4.Results and Analysis
Upon fulfilling the observations, the observation equations are expressed as follows:
i
m j
p
,...
2,1
,...
2,1
where , and are respectively distance, horizontal direction and vertical angle correction, which are added to the observations of distance , horizontal direction and vertical angle θ extracted from the laser scanner. p is the number of device stations and m is the number of scanned targets in each station. x, y and z are observed Cartesian coordinates of each target in each station via laser scanner.
The problem of sensor modeling is perhaps the most important part in calibrating the laser scanner [1]. Since one generally has very limited (or, better almost no) knowledge about the inner functioning of modern terrestrial laser scanners due exclusive designing characteristics which the manufacturer doesn't express them, therefore the proper error modeling for TLS is constituted focusing on the hypotheses[4]. Since laser scanners operate similarly to reflectorless total stations, most researchers chose the total station error model as the basis for calibration[4]. According to this model, the developed model for omitting the systematic error of laser scanner is expressed as below:
Each one of the above parameters, models a part of device systematic errors. These errors are introduced in table 1.
Table1.introducing the parameters of expressed model
Error modeling parameters and external oriantation parameters of each station of scanner was computed for transforming its coordinate system to the photogrammetric coordinate system simultaneously in a composited adjustment procedure. Through applying this method on the observations in the constituted virtual test field the precision was improved as seen in table 2. In this table, precision rate before and after applying the parameters and their improvement percent has been showed.
Table2. precision rate before and after applying the parameters and their improvement percent
| rms | Without AP correction | With AP correction |
|---|---|---|
| (mm) | 2.24 | 2.19 |
| (radian) | 30 | 27 |
| (radian) | 21 | 19 |
| x(mm) | 2 | 1.5 |
| y(mm) | 1.8 | 1.7 |
| z(mm) | 2.1 | 1.9 |
As it is obvious in table 2, after constituting the virtual test field and applying the parameters of presented model, only 2.5%, 5% and 9% improvement in precision has gained in the results and therefore no considerable advancement has been observed.
Considering this subject that in this process only the variation of short waves length (high frequency) are identifiable and not variation of long waves length, can be effective for gaining such results, but in addition, other cases such as very small changes in the board because of its little movement or constituted network structure may be considered. Furthermore, here, only through parametric model regarding internal structure of laser, the errors were modeled and applied parameters were physical and no parameters were applied experimentally.
Considering the mentioned subjects, further researches is recommended regarding designing the suitable place for laser scanner and constituting different networks structures for achieving the best precision and also verifying the methods through which the variations of long waves length may be identifiable and consequently the final precision may be increased.
5.Conclusions
In this paper, the calibration methods in the laser scanner were divided at first in two general self calibration and laboratorial calibration parts, and each one was introduced separately. Whereas laboratorial methods require expanded, under control and calibrated laboratorial area and considering that these areas cannot be constituted in the executive projects and are very costly and time-consuming, a modern method was raised in which utilizing the minimum test field, laboratorial conditions are settled. In fact, through above methods, a 3D area was made and laser scanner moved in that area. But in this mode, only one object stabilizes in a location and 3D area is constituted virtually through laser movements. The object on which the targets are settled is a plate that the point-based targets are installed on it. One of the advantages of this method is that the board is portable and provides conditions for calibrating the device near everywhere the project is executed but in the laboratorial conditions. But considerable point in this process is that only the variations of short waves length (high frequency) are identifiable and not variations of long waves length. It Means in different directions, the plates are not verifiable in proportion to each other and this method provides the inner plate variations and not the plates in proportion to each other. This resulted to inconsiderable advance in adjusment process. Furthermore, other cases such as very small changes in the board because of it's little movement or the structure of constituted network may be considered.
References
1. Lichti, D.D., Licht, M., (2006)," Experiences with terrestrial laser scanner modeling and accuracy assessment", Isprs Volume XXXVI, Part 5, pp. 25-27.
2.Yuriy, Reshetyuk, (2009),"Self-calibration and direct georeferencing in terrestrial laser scanner, InternationalArchives of the Photogrammetry", Remote Sensing and Spatial Information Sciences, vol.XXXVI, part 3/W19, pp. 186-191.
3.Lichti, D.D., (2007),"Error modeling,calibration and analysis of an AM-CW terrestrial laser scanner system", Photogrammetry and remote sensing, No. 61, pp. 307-324.
4. Lichti, D.D.,( 2008)," A method to test differences between additional parameter sets with a case study in terrestrial laser scanner self-calibaration stability analysis", Photogrammetry and remote sensing, No.63, pp. 169-180.
5. Damir, Latypov ,(2005)," Effects of laser beam alignment tolerance on lidar accuracy", ISPRS Journal of Photogrammetry and Remote Sensing, Volume 59, Issue 6, Pages 361368
6. Staiger R (2005)," The Geometrical Quality of Laser Scanner (TLS)". In: Proceedings of FIG Working Week 2005 and GSDI-8, Cairo, Egypt, April 16 – 21. http://www.fig.net/pub/cairo
7. Gordon SJ (2005),"Structural Deformation Measurement Using Terrestrial Laser Scanners". PhD thesis, Curtin University of Technology, Department of Spatial Sciences, Australia.
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2017-03-27T10:43:44Z
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Political transition in Nepal: Chances of Resembling Faustian Model of Development
Prabin K. Prajapati
Lund, Sweden
Introduction:
To understand Nepal and its development pace, one has to see the country from historical lenses on its sociopolitical structures. Development is not a natural process rather it is an intentional and instrumental in which mode of production and economy are shaped and moved towards a desired goal through the anvil of technological progress, dialectic and capitalist experimentations. Here the technological progress stands for highly skilled human resources and dialectic and capitalist experimentations stand for political transition and latter to the market. The labor force from Marx's view is the source of power which basically plays a crucial role in shaping socioeconomic structure. In response to several claims by political leaders of Nepal portraying themselves as development agents, and civil war was an indispensable event to change Nepal, I am going to discuss and implicate the war and political transition whether it would fit under Schumpeter's Faustian development model. In this paper, I would like to employ the Schumpeter's theory of development in relation to civil war and political transition which I look as internal forces of development. Through the paper, I will try to employ the theory and argue that these ongoing events could turnout to be a similar consequence like a mythical character Dr. Faustus i who unknowingly destroys himself to create a new world. Following Nepali civil war and present political stalemate, Maoists and other major political parties are acting almost like Dr. Faustus. Although, it is not time yet to judge such an inference however, it might implicate unless handled well. The selection of the same old faces for election candidates in most of parties in constituency assembly election through proportional and direct election, it is unlikely to happen any dramatic change in the future. I personally feel it because, ever since 1990's popular movement these same faces were at least somewhere representing either in the parliament or in the government or in the caretaker government.
Cowen and Shenton (1996) mention that Schumpeter attempted to transcend a metaphysical or evolutionary conception of development by assisting that while development was about the causes of disturbance and destruction of existing material condition of life, mere adaptation to disturbance from some exogenous or external source of change such as colonialism, famine or war…a part of normal economic life (410). In this sense, no doubt, Nepali people always aspired a highly progress which is obviously a natural behavior. However, a question still persists over the surface, has the civil war and political transition changed Nepal in the structure of democratic institutions? Or was it only to legitimize a crooked methodology of bringing so-called change? It is true that Nepal is historically a feudalistic state where mode of production was controlled by a few numbers of political elites. If we go beyond the background of these leaders, many of them are partly related to those earlier political elites who inherited the same culture. The selection of CA election candidates from all parties either proportional nomination or direct election proves it. It really ridicules to those martyrs who sacrificed lives for the brighter future to their coming generation. The aspiration of people in 1990's movement was absolutely a want to dismantle the static mode of production and distribution or in another words, the new was a moment in the destruction of the old. It was according to Schumpeter's view a rapid and abrupt striking out along tangents from the normal circular flows of economic life.
Economic and Political History of Nepal:
Before the Shah Dynasty, there is no extant history of Nepal that authenticates different dynasties that ruled over the country. Prithvi Narayen Shah (1769 -1775) a king from Gorkha, a small principality from west of Nepal started to expand the country into a larger territory. After conquering the Kathmandu valley on 25 September 1768, Nepal became a unified nation. ii The successors of Pritivi Narayen Shah and latter Rana regime kept Nepali economy into a feudalistic mode of production until 1960. All exchange sources were virtually controlled by the centrally located political elites. The state structure was constructed in a way that there was no value of labor force and higher consumption based market for large production. Neither there was an attempt to intervene new technology nor finding the market economy. The land was sources of economy however many political elites owned the most fertile lands to maintain their supremacy. Upreti (2004) mentions, in Nepal national planners, policy makers, the bureaucrats and professionals still treat technology as a 'black box' (60). It is a normal circular of economic life or static mode of production and consumption where surplus value contributed only state administration. It was only when cold war was heightened on the globe Nepal experienced a new dimension of capitalistic mode of production.
Rist argues:
The cold war had at least two consequences. First it constituted the 'Third World' as an ideological battleground of the major powers, so that new States or national liberation movements were able to benefit from the support of influential protectors (sometimes switching from one to another). Second, it blocked the UN decision-making system… Thus the organization was thus forced to occupy itself with matters on which there was more of a consensus 'development' being one of the most important of these (1997:80).
It was a kind of intentional development in the context of globalization in between two political polarities. Nepal during the cold war somehow was forced to change its static equilibrium economy into dynamic equilibrium. Considering the development, and Schumpeter's theory, Cowen and Shenton (1999) argue development literally meant to fundamentally unstable and disequilibriating change whose source was endogenous and whose impact was to destroy existing production and consumption practices in the process of creating new ones. Development, however, brought its own internal sources of destruction and again it is the ephor of development of the economic system but not simply 'the market' that has to be brought into play to counteract the fundamental change of development (415). Since Nepal had conventional feudalistic structure, no colonized experience and less interruption because of its geopolitical context, it experienced very slow developmental practices. In essence, those political elites every other time retained power in different socioeconomic and political institutions who know that their future can only be secured through active involvement in democratic institutions, internally feudal in characteristics. Therefore, even after in each political movements and change of power, the same elites misled the people portraying themselves dynamic agents of rapid development. On the other hand, northern development institutions approached the country with fragmented missionary projects which contributed only a tiny partial change.
Conclusion:
Lately experiencing civil war, political turmoil, Madheshi movement and the nomination of same political elites with characteristics of feudal hierarchies, the election of constituency assembly will likely to bring any literal difference in the development as it has been proclaimed. As per researchers and other concerned claim that Maoist's civil war was a catalytic force for socioeconomic development, the central power structure in all political parties seems improvised with feudalistic hierarchies. Those elites' representation through constituency assembly election might push the development further slow. In the context of rapid development in the neighboring countries, Nepal has to find an absolute viable, potential and revolutionary development approach. Provided that if the goal of development wouldn't meet as it was expected and strived through the movements, all the political parties possibly have to face the same fate as Dr. Faustus had in the gothic drama. The neighboring countries which have extremely enhanced the technology and where the value of labor is translated into global market Nepal has to follow an indigenous approach that is highly productive to its multi ethnocentric structure and compatible to its rich natural resources and geopolitical context.
References:
Cowen, M.P. and R.W. Shenton (1997) Doctrines of Development. Routledge, London
Munck, R and D. O'Hearn (eds. 1999) Critical Development Theory: Contribution to a new paradigm. Zed Books.
Perons, D. (2004) Globalization and Social Change: People and Places in a Divided World. Routledge
Potter, R.B. et. Al (eds. 2004) Geographies of Development. Pearson, Prentice Hall.
Rahnema, M. and V. Bawtree (eds. 1997) The Post Development Reader. Zed Books, London.
Rist, G. (1997) The History of Development: from Western Origins to Global Faith. Zed Books, London.
Upreti, B.R. (2004) The Price of Neglect: From Resource Conflict to Maoist Insurgency in the Himalayan Kingdom. Bhrikuti Academic Publication, Kathmandu.
i Dr. Faustus is an imagery character in a Gothic drama in which the character ends up oneself when trying to crate a new world.
ii http://www.thamel.com/htms/history.htm retrived on 29 Jan 2008.
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2017-03-27T10:39:51Z
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GRAHAM DUNNING
Artist | Musician | Tutor
[email protected] 07920 004 479
Solo Exhibitions
2015 September Rhythm & Drone // Research & Development – exhibition of experimental automata. LimeWharf Machines Room, London
2014 October For Posterity - installation documenting reunion of a family with their lost audio journals. The Auricle, Christchurch, New Zealand.
2013 May Remains - collages, sculptural assemblages and sound works resulting from artist's residency. The Penthouse, Manchester
2012
March
For Posterity– as above
Sound Fjord, London
2011 September Loss Shines a Light on What Remains – three sculptural sound installations as a solo show. AC Institute, New York, USA
2010 September Visitor Centre – large scale outdoor installation following twelve week artist's residency. The Rea Garden, Birmingham
Selected Group Exhibitions
2015 July Music By The Metre While You Wait Kiosk - installation making unique cassettes.
TransActing – a Market of Values, Chelsea College of Art, London
2015 June Ghost in the Machine Music – Small sculptural works, sound installation and performance. Reactor Halls, Primary, Nottingham. I also curated this event.
2015
February
2014
August
Untitled (Translation 1) - abstract videodrone work.
London: A Sonic Fragment at The Auricle, Christchurch, New Zealand.
Music By The Metre While You Wait Kiosk- installation making unique cassettes.
Supernormal Festival, Braziers Park, Oxfordshire
2014 August AAS: Lammas Drone Silo - interactive sculpture/performance with multichannel audio. Hackney Wicked Festival, London
2011
August
Your Luton Symphony- commissioned, site-specific, interactive installation.
Luton Summer Festival, Luton
2011 February Untitled (Tape Ghosts) - Installation: tape recorders and found sound of home recordings.
Time Pieces: group show Lancaster Institute of Contemporary Art, Lancaster
2010 August A Site of No Special Interest – interactive sound installation, record players & field recordings. Solihul Gallery, West Midlands
Residencies
2015 September Rhythm & Drone // Research & Development – month long residency, exhibition and discussion groups, workshop and curated event.
LimeWharf Machines Room, London
2013 May Remains – One week artist's residency and open studio. Exhibition of collages, sculptural assemblages and sound works
The Penthouse, Manchester
2011 April Figure/Ground – Three day mini residency at LV21, decommissioned light ship in Kent. Group exhibition included site specific sculptural installation and collaborative performance.
LV21, Gillingham, Kent.
2010 September Visitor Centre - large scale installation following twelve week artist's residency. The Rea Garden, Birmingham
Selected Performances
2015 November Duo (turntable) with Tom White (tape), plus additional choreographed performers, live Foley sounds and accidents
Is It Eating You?, IMT Gallery, London
2015 October Duo (turntable, tapes) with Robert Barry (electronics)
Non Classical: Inspired by Martinů, The Forge, London
2015 September Solo: Rhythm & Drone to new score, Holon Music
Galleria A + A, Venice, Italy
2015 September Solo: site specific, multichannel Rhythm & Drone composition
Art in Romney Marsh, St George's, Ivychurch, Kent
2015 August Trio (turntable) with Sam Underwood (tuba) and Colin Webster (saxophone)
Full of Noises Festival, Barrow-in-Furness; Supernormal Festival, Oxfordshire.
2015 June AAS: Young Castle of the Elder Sun
Audiovisual performance / installation at Gallery North, Newcastle UK and live stream broadcast to Flux Factory New York, USA.
2014
December
Solo: expanded turntables
"West Germany", Berlin, Germany
2014 December Trio (turntable) with Sam Underwood (tuba) and Colin Webster (saxophone)
Vortex Jazz Club, London
2014 Solo: Mechanical Techno, mini tour
May - July Supersonic Festival, Birmingham; Stryx Gallery, Birmingham; Cafe Oto, London.
2014 April Duo tour (turntable) with Colin Webster (saxophone)
Twelve dates across the UK and Switzerland
2013 Solo: Music By The Metre performance lecture
If Wet, Worcestershire
September
2012
February
Solo: Live tape sampling set
Boilerroom.tv / NTS Radio
Workshops and Teaching
2015 October Sound Art, Improvisation and Composition at Goldsimths University
A one day course to MA Composition students in free improvisation and non-musical sound sources in experimental music.
2013 Ongoing Experimental Sound Art at Mary Ward Centre
A weekly evening course in aspects of my art practice at this adult education college. Each ten-week term focuses on a different area: performance, composition, installation.
2014 March Mechanical Techno Workshop at De La Warr Pavilion
Workshop and performance in mechanical music and lo-fi sampling.
2012 March Visiting Tutor at Sollihul College BA Fine Art
An artist's talk about my work plus individual tutorials with the BA students.
2011 Art and Media Tutor for City of Westminster College
to 2013 Working in community settings such as homeless hostels and homeless day centres to deliver informal art workshops, facilitate gallery visits and work towards exhibitions.
2010 to 2014 Open Sound Group
Series of collaborative workshops and free download net-label focusing on experimental music, sound art, and archival audio.
2010 April Experimental Turntable Workshop at Kraak Gallery
Performance and workshop as part of the Lost Language exhibition
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City of Union
118 North Main Street; Union, Ohio 45322 937-836-8624 Fax 937-836-1240
APPLICATION FOR PRE-SALE INSPECTION
$50.00 Fee
(RECOMMEND INSPECTION BE DONE PRIOR TO AN OFFER BEING MADE OR ACCEPTED)
__________________________________________ _______________________
Property Address For Sale
Date
__________________________________________ _______________________
Property Owner
Owner's Phone #
_________________________________________
Owner Address if Different from Sale Address
________________________________________ ________________________
Realty Agent Phone #
_______________________________________ ________________________
Realty Company/Address
Phone #
Vacant Property: Yes ( ) No ( ) Outside Dog on Premises__ Yes ( ) No ( )
**************************************************************************
Dwelling:
□ Single
□ Duplex
□ Attached Singles,
□ Apartments,
□ Other
Mercantile:
□ Office,
□ Retail,
□ Restaurant,
□ Multiple Occupancy
Existing Structures on Property:
□ Storage Shed
□ Front/Rear Patio Cover
□ TV/CB Radio Tower
□ Detached Garage
□
Porch
□ Wall Sign
□ Swimming Pool
□ Hot Tub
□ Ground Sign
□
Deck
□ Room Addition
□ Other Structural Alteration
Buyer's Name(s) Buyer's Phone #
______________________________________ ________________________________
Realtor For Buyer
Phone #
________________________________________ _________________________________
Buyer's Realty Company/Address
Phone #
________________________________________ _________________________________
Title Company Name/Address Phone #
_____________________________ ____________________________________________
Closing Date
Applicant Signature
______________________________________ _____________________
Applicant's Printed Name Phone #
The transfer, for monetary consideration, of any real property in the City of Union without a valid Presale Inspection Certificate of Occupancy constitutes a violation of the Union Zoning Code, and all parties to such a transaction shall be subject to a fine and/or legal proceedings.
In issuing a Certificate of Inspection, the city does not insure or guarantee to the holder thereof, to his assignee or other interested party, that there are no violations of the Codified Ordinances of the City of Union or statutes and regulations of the State of Ohio.
City of Union
Union, Ohio 45322
118 North Main Street
937-836-8624 Fax 937-836-1240
PRE-SALE AND CHANGE OF OCCUPANCY EXTERIOR INSPECTION PROCEDURE
1. To transfer legal or equitable ownership of any real estate premises within the City of Union, the current owner must first obtain a pre-sale inspection. An inspection must also be conducted upon an occupancy change, but in no case more than once during any twelve month period. Remember, it is an unlawful act to transfer the legal or equitable ownership of premises without having obtained an inspection and without furnishing the prospective new owner a true copy of any conditional occupancy certificate or other notice of violation and obtaining a signed receipt for it. No person shall sell or receive a commission or fee from the sale of any real property in this City without a valid Certificate issued hereunder.
2. Upon receipt of a completed pre-sale inspection application and payment of a $50.00 fee, an inspection will be scheduled. At least two weeks, (14 days) before the subsequent sale should be allowed for the city to conduct such an inspection. If there are any violations, the property owner will be contacted. When the violations are corrected, the owner will call for a new inspection. After that, if additional inspections need to be made, there will be an additional $50.00 charge for each inspection.
3. The purpose of the inspection is to insure that all property, buildings and structures are safe, sanitary and fit for occupation and use consistent with the requirements of the fire code, zoning code, property maintenance code and other ordinances.
4. We have outlined the inspection process detailing how the Building/Zoning Department will be working with you to assure compliance with our ordinance.
a. Inspections will be scheduled once a completed application form has been received in our office and inspection fee paid. An inspection is valid for one (1) year from the date of the inspection.
b. The City Inspector must be met by a responsible party at the time of the inspection.
c. If no violations are found:
(1) And, the prospective owner's name is known, an Occupancy Certificate shall be issued, and must be presented to the buyer at the closing.
(2) If the prospective owner/occupant is not known, the City will advise the present owner or his authorized agent that the Certificate will be issued to the prospective owner and/or occupant when notified of the prospective owner's and/or occupant's identity if that information is forwarded to the City and the closing takes place within one (1) year of the inspection date.
d. If violations are found, a letter detailing the violations shall be sent to the owner or his representative. An Occupancy Certificate will be issued once the violations have been corrected and the City has approved the final inspection.
NOTE: Responsibility for building or zoning permits cannot be transferred to a prospective buyer.
e. If the owner objects to the violations listed, an appeal may be made to the Property Maintenance Board in accordance with language of Codified Ordinance 1361.
5. Disclaimer: The applicant, present or prospective owner or any interested party should be aware the inspections will seldom, if ever, reveal latent defects or violations of the Property Maintenance Code which are not readily apparent. Neither should owners nor prospective owners or occupants rely entirely upon our inspection regarding the house, or accessory structures or fixtures being structurally sound. Owners, prospective owners and/or occupants should be made aware that subsequent inspections by specialists might disclose violations or defects that would be apparent to such inspectors with special knowledge or experience in construction or building trades.
6. Advisory Conditions: Current and prospective owners may be advised of conditions that may not constitute a violation of our ordinance at the time of inspection, but should be brought to the attention of the owner or prospective owner before transferring property ownership. These conditions will be noted on correspondence from the department or on an Occupancy Certificate as "advisory conditions".
7. Utility Bills: Before any Occupancy Certificate will be issued and before any transfer of property or change of tenant is permitted, all outstanding water and sewer bills must be paid in full. Such Occupancy Certificate as would permit transferring property at real estate closing may be withheld if there are outstanding water and sewer debts.
8. Building/Zoning Permits: The release of the Occupancy Certificate may be withheld for failure to obtain final approval of existing permits or failure by the present owner to obtain board approval for any improvements that may require such approval.
9. Additional Inspections: The inspection conducted by the City of Union should be in addition to, and not in lieu of professional structural inspections.
10. Inspection Checklist: Attached is a list of some of the requirements that will be considered as part of the inspection process. This list is not inclusive, but identifies some of the most common violations found during inspections.
11. While it is the current owner's responsibility to have the violations corrected, the new owner may formally assume such responsibility by signing a Transfer of Responsibility Agreement form provided by the Zoning Department after being given a copy of the conditional certificate of occupancy including the list of defects. A signed copy of such an agreement shall be filed with the code official. Such a written assumption by the new owner shall release the previous owner from the responsibility to the city under this code.
INSPECTION CHECKLIST
□ Foundation - Foundation walls should be kept plum and free from open cracks.
□ Brick- To be in good state of repair and no open cracks.
□ Windows - To be in good state of repair - caulked and painted, no broken glass.
□ Exterior Doors - To be in good state of repair - caulked and painted, no broken glass.
□ Painting - No peeling or cracked paint.
□ Decks - Free of rotting materials and with all railing installed to code.
□ Covered Patios and Porches - To be in good state of repair - no rotting materials and with all railing installed to code.
□ Awnings and Shutters - In good state of repair and attached to the house.
□ Garage Doors - In good working order - no broken glass and no peeling or cracked paint.
□ Gutters and Down spouts - In good state of repair and attached to house.
□ Sanitation - premises maintained clean, safe, sanitary and free from rubbish and garbage.
□ Sidewalks, walkways, driveways, parking areas, stoops, patios, and other impervious areas shall be kept in a proper state of repair and free of hazardous conditions.
□ Weeds - grass shall not exceed 8 inches in height.
□ Trees and Shrubbery - No dead trees or dead shrubs. Trees and shrubs to be trimmed.
□ All accessory structures must be maintained structurally, sound and in good repair.
□ Fence and Retaining Walls
□ Pool or Hot Tub
□ Each building shall have a street number displayed in a position easily observed and readable from the public right-of-way; this also includes garages abutting public alleys. All numbers should be at least 3" high.
□ Exterior walls and soffit systems shall be kept free of holes, breaks, loose or rotting materials, and maintained weatherproof and property surface coated to prevent deterioration.
□ Roofs must be sound and tight and not have defects which might admit rain.
□ Chimneys shall be maintained in good repair.
□ All exterior stairs and railings shall be maintained in sound condition and good repair.
□ All exterior devices and hardware shall be maintained in good condition.
□ Drainage of roofs and paved areas, yards and courts, and other open areas on the premises shall not be discharged in a manner that creates a public nuisance. Water may not be directed on, or drain to a neighbor's property.
□ Garbage and rubbish shall be disposed of in a clean and sanitary manner.
□ Other miscellaneous conditions and requirements as may be identified by the inspector.
□ All utility bills to the City of Union must be paid in full.
In issuing a Certificate of Inspection, the city does not insure or guarantee to the holder thereof, to his assignee or other interested party, that there are no violations of the Codified Ordinances of the City of Union or statutes and regulations of the State of Ohio.
|
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Dakota County Technical College
PSYC 1400: Adult and Geriatric Psychology
A. COURSE DESCRIPTION
Credits: 2
Lecture Hours/Week: 2
Lab Hours/Week: *.*
OJT Hours/Week: *.*
Prerequisites: None
Corequisites: None
MnTC Goals: Goal 05 - Hist/Soc/Behav Sci
This Adult psychology course is an introduction to adult and geriatric psychology from a lifespan perspective. This course examines topics from a developmental perspective, including sensation and perception, memory, intelligence and social cognition through adulthood. Prerequisite: Concurrent or prior successful completion of PSYC1100. Meets MnTC Goal 5
B. COURSE EFFECTIVE DATES: 02/25/2000 - Present
C. OUTLINE OF MAJOR CONTENT AREAS
D. LEARNING OUTCOMES (General)
1. identify issues facing adults from a multicultural, interdisciplinary perspective
3. demonstrate an understanding of theories of physical aging and the impact of physical aging on, sensation perception, memory, intelligence and cognition, behavior and experience in adulthood
2. identify research designs utilized in the study of adult development
4. identify myths about aging and the impact of those myths on persons at various age strata
6. demonstrate an understanding of the issues facing adults relative to love and friendship relationships
5. identify stage and trait theories of personality
7. identify myths about aging and sexuality
9. demonstrate an understanding of methodological issues regarding adult psychopathology
8. identify cultural differences in the makeup of family and personal relationships
10. define mental health, psychopathology
12. distinguish bereavement, normal grief and pathological grief, and identify states of grief and its impact on stakeholders in the process
11. demonstrate an understanding of psychopathology concerns in adulthood from a client and caregiver perspective
E. Minnesota Transfer Curriculum Goal Area(s) and Competencies
Goal 05 - Hist/Soc/Behav Sci
1. Employ the methods and data that historians and social and behavioral scientists use to investigate the human condition.
3. Develop and communicate alternative explanations or solutions for contemporary social issues.
2. Use and critique alternative explanatory systems or theories.
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F. LEARNER OUTCOMES ASSESSMENT
As noted on course syllabus
G. SPECIAL INFORMATION
None noted
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Request title:
Ward Transfer Documentation
Date of Response: 26 th April 2016
Further to your Freedom of Information request, the Trust has answered your questions in the order they appear in your request.
Request and reply
Does your hospital internally use 'ward-to-ward' and/or 'emergency / critical departments- 1. to-ward' transfer ready-made forms? If so please send me a blank copy of the ready-made form or quote the data on the ready-made forms. No.
Does your hospital externally use 'ward/emergency / critical departments-to-other 2. Trusts/nursing home/residential home' transfer ready-made forms? If so please send me a blank copy of the ready-made form or quote the data on the ready-made forms. Yes, a 'nursing transfer form for discharge of patients to other care providers' is completed when transferring patients to other care providers. A copy is attached above.
Please tell me who completes, authorises and signs the empty fields on the ready-made 3. forms in questions 1. and 2. above? The form in question 2 is completed and signed by a Registered Nurse.
If hospital consultant authorises but does not have to sign the ready-made forms in 4. questions 1. and 2. above, where is their authorisation record kept? Consultants do not sign the form described in question 2.
What happens if there is no hospital consultant there in ward/departments to sign the 5. ready-made forms in questions 1. and 2. above?
Not applicable.
What about 'ward/department-to-isolated room' in the ward/department transfers - is there 6. a ready-made form form? If so please send me a blank copy of the ready-made form or quote the data on the ready-made forms. Please tell me who completes, authorises and signs the empty fields on this ready-made form? If hospital consultant authorises but does not have to sign the ready-made form, where is their authorisation record kept? What happens if there is no hospital consultant there to sign the ready-made form? The Trust does not use a 'ward/department-to-isolated room' transfer form.
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AMERICAN SPECIALTIES, INC.
441 Saw Mill River Road, Yonkers, NY 10701 (914) 476-9000
ISSUED:
REVISED:
MODEL No:
0439
1-87
9-04
RECESSED TOWEL DISPENSER
SPECIFICATION
Recessed Towel Dispenser with concealed body for pocket mounting behind mirrors shall hold 800 standard multi-fold or 600 standard C-fold paper towels. Entire unit shall be fabricated of alloy 18-8 stainless steel, type 304, 22 gauge and exposed surfaces shall have N o 4 satin finish and be protected during shipment with a PVC film easily removable after installation. Cabinet shall have two push-up flaps to permit filling paper towels from bottom. Cabinet shall have no exposed fastening devices or spotwelded seams.
Recessed Towel Dispenser shall be Model N o 0439 as manufactured by American Specialties, Inc., 441 Saw Mill River Road, Yonkers, New York 10701-4913
INSTALLATION
Mount unit as directed by architect using N o 10 self tapping screws (by others) through holes in mounting tabs provided. For compliance with ADA Accessibility Guidelines, unit should be installed so that towel dispenser slot is 54" (1372mm) maximum above finished floor (AFF) if clear floor side reach access is provided or 48" (1219mm) maximum AFF if clear floor forward reach access only is provided.
OPERATION
Towels are self-feeding until supply is depleted. Towels are refilled from the bottom via two push-up flaps.
.
D
esert
R
ay
P
roducts
THIS MANUFACTURER RESERVES THE RIGHT TO MAKE CHANGES IN DESIGN OR DIMENSIONS WITHOUT FORMAL NOTICE
,INC.
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Student Code of Conduct Northwest Missouri State University May 2016
Article I: Definitions
1. The term "University" means Northwest Missouri State University.
2. The term "student" includes all persons taking courses at the University, either full-time or part-time, pursuing undergraduate, graduate, or professional studies, enrolled in person or online. Persons who withdraw after allegedly violating the Student Code, who are not officially enrolled for a particular term but who have a continuing relationship with the University or who have been notified of their acceptance for admission are considered "students" as are persons who are living in University residence halls, although not enrolled in this institution. This Student Code applies at all locations of the University, including the Kansas City and St. Joseph Centers.
3. The term "faculty member" means any person hired by the University to conduct classroom or teaching activities or who is otherwise considered by the University to be a member of its faculty.
4. The term "University official" includes any person employed by the University, performing assigned administrative or professional responsibilities and the Board of Regents and its members.
5. The term "member of the University community" includes any person who is a student, faculty member, University official or any other person employed by the University. A person's status in a particular situation shall be determined by the Vice President of Student Affairs.
6. The term "University premises" includes all land, buildings, facilities, and other property in the possession of or owned, used, or controlled by the University (including all adjacent streets and sidewalks).
7. The term "organization" means any number of persons who have complied with the formal requirements for University recognition by the Student Senate.
8. The term "Student Conduct Board" means any person or persons authorized by the Vice President of Student Affairs to determine whether a student has violated the Student Code and to recommend sanctions that may be imposed when a rules violation has been committed.
9. The term "Student Conduct Administrator" means a University official authorized on a case-bycase basis by the Vice President of Student Affairs to impose sanctions upon any student(s) found to have violated the Student Code. The Vice President of Student Affairs may authorize a Student Conduct Administrator to serve simultaneously as a Student Conduct Administrator and the sole member or one of the members of the Student Conduct Board. The Vice President of Student Affairs may authorize the same Student Conduct Administrator to impose sanctions in all cases.
10. The term "Appeals Board" means any person or persons authorized by the Vice President of Student Affairs to consider an appeal from a Student Conduct Board's determination as to whether a student has violated the Student Code or from the sanctions imposed by the Student Conduct Administrator.
11. The term "shall" is used in the imperative sense.
12. The term "may" is used in the permissive sense.
13. The Vice President of Student Affairs is that person designated by the University President to be responsible for the administration of the Student Code.
2
14. The terms "policy" or "regulations" mean the written regulations of the University including, but not limited to, the Student Code, Residence Life Handbook, the University web page and computer use policy, and Graduate/Undergraduate Catalogs.
15. The term "Complainant" means any person who submits a charge alleging that a student violated this Student Code. When a student believes that s/he has been a victim of another student's misconduct, the student who believes s/he has been a victim will have the same rights under this Student Code as are provided to the Complainant, even if another member of the University community submitted the charge itself.
16. The term "Accused Student" means any student accused of violating this Student Code.
17. The term "Acts of dishonesty" has the meaning as set forth herein in Article III. Notwithstanding any language herein to the contrary, incidences of academic dishonesty will be handled in accordance with the processes outlined in the Undergraduate and Graduate Handbooks/Catalogs. Accusations of academic dishonesty (including cheating and plagiarism) are considered by the Academic Affairs Division of the University.
18. The terms "Student Code of Conduct", "Student Code" and/or "student conduct code" mean this Student Code of Conduct.
19. Definitions for violations of state statutes are available in the Missouri state statutes and in the Annual Security Report (when applicable) on the University Police website.
Article II: Student Code Authority
1. The Student Conduct Administrator shall determine the composition of Student Conduct Boards and Appeals Boards and determine which Student Conduct Board, Student Conduct Administrator and Appeals Board shall be authorized to hear each matter.
2. The Student Conduct Administrator may develop policies for the administration of the student conduct system and procedural rules for the conduct of Student Conduct Board Hearings that are not inconsistent with provisions of the Student Code.
3. Decisions made by a Student Conduct Board and/or Student Conduct Administrator shall be final, pending the normal appeal process.
4. In the event of a conflict between the terms of this Student Code of Conduct and the terms of any policy referenced herein for which this Student Code of Conduct provides a sanction, the terms of this Student Code of Conduct will control.
Article III: Proscribed Conduct
A. Jurisdiction of the University Student Code
The University Student Code shall apply to conduct that occurs on University premises, at University sponsored activities, and to off-campus conduct that adversely affects a member of the University community and/or the pursuit of its objectives. Each student shall be responsible for his/her conduct from the time of application for admission through the actual awarding of a degree, even though conduct may occur before classes begin or after classes end, as well as during the academic year and during periods between terms of actual enrollment (and even if their conduct is not discovered until after a degree is awarded). The Student Code shall apply to a student's conduct even if the student withdraws from school while a disciplinary matter is pending. The Vice President of Student Affairs shall decide whether the Student Code shall be applied to conduct occurring off campus, on a case-by-case basis, in his/her sole discretion.
Student Organizations may be disciplined/sanctioned via (1) Student Code of Conduct procedures while represented by an officer or member who has been chosen by the membership but who was not directly involved in the incident in question as determined by the Student Conduct Administrator and/or (2) under the powers of the Student Senate as set forth in the University's Manual of the Student Government Association.
B. Conduct—Rules and Regulations
Any student found to have committed or to have attempted to commit the following misconduct is subject to the disciplinary sanctions outlined in Article IV:
1. Acts of dishonesty, including but not limited to the following:
a. Furnishing false information to any University official, faculty member, office, or hearing board.
b. Forgery, alteration, or misuse of any University document, record, or instrument of identification.
2. Disruption or obstruction of teaching, research, administration, disciplinary proceedings, other University activities, including its public service functions on or off campus, or of other authorized non-University activities when the conduct occurs on University premises.
3. Conduct that materially and substantially disrupts the functioning of the University, or is unlawful, or conduct that rises to the level of illegal harassment as defined by the University's policies prohibiting discrimination and harassment. This includes, but is not limited to, stalking, bullying, physical threats, and incitement. This applies to conduct which occurs in any form whether in person, online, by phone, or through any other medium.
4. Conduct which causes physical injury or endangers the health and safety of another person, which includes, but is not limited to, acts of physical violence and assault.
5. Any and all acts of sexual misconduct, including domestic assault, dating violence, stalking, sexual harassment, or any other act outlined in the University Title IX policy.
6. Attempted or actual theft of and/or damage to property of the University or property of a member of the University community or other personal or public property, on or off campus.
7. Hazing, please see the University's Hazing Policy for definition.
8. Failure to comply with directions of University officials or law enforcement officers acting in performance of their duties and/or failure to identify oneself to these persons when requested to do so.
9. Unauthorized possession, duplication or use of keys (traditional or electronic) to any University premises; or unauthorized entry to, or use of, University premises.
10. Use of any university property or services without express authorization.
11. Violation of any University policy, rule, guideline, handbook or regulation published in hard copy or available electronically on the University website.
12. Violation of any federal, state or local law.
13. Smoking, as outlined in the University's Smoking Policy, is prohibited on all University owned or leased grounds and in all University owned vehicles.
14. Use, possession, manufacturing, or distribution of marijuana, heroin, narcotics, or other controlled substances except as expressly permitted by law. (NOTE: Possession could mean knowingly in the presence of controlled substances)
15. Possession or knowingly in the presence of drug paraphernalia. Paraphernalia includes any items used in conjunction with controlled substance use and/or ingestion and includes any items used to mask the use or possession of controlled substances.
16. Consumption, possession, manufacturing, or distribution of alcoholic beverages not specifically permitted within the University's Alcohol Policy. (NOTE: Possession could mean knowingly in the presence of alcohol)
17. Illegal or unauthorized possession of firearms, explosives, weapons, or dangerous chemicals on University premises or use of any such item, even if legally possessed, in a manner that harms, threatens or causes fear to others. The University's policy on weapons can be found in the Campus Security Report on the University Police website.
18. Possession or use of fireworks.
19. Obstructing the free flow of pedestrian or vehicular traffic on University premises or at University sponsored or supervised functions.
20. Destroying, tampering with, or altering fire alarms or other safety equipment.
21. Conduct that is disorderly, lewd, or indecent. Disorderly Conduct includes but is not limited to:
a. Any conduct which materially and substantially disrupts the functioning of the University
b. Any conduct which is or aiding, abetting, or procuring another person to materially and substantially disrupt the functioning of the University
c. Any use of electronic or other devices to make an audio or video record of any person while on University premises, when such conduct constitutes an invasion of privacy or is otherwise unlawful. This includes, but is not limited to, surreptitiously taking pictures of another person in a gym, locker room, or restroom
d. Any conduct deemed inappropriate as a result of alcohol/drug impairment.
22. Any violation of the University Computer Policy.
23. Abuse of the Student Conduct System, including but not limited to:
a. Failure to obey the notice from a Student Conduct Board or University official to appear for a meeting or hearing as part of the Student Conduct System.
b. Falsification, distortion, or misrepresentation of information before a Student Conduct Board.
c. Disruption or interference with the orderly conduct of a Student Conduct Board proceeding.
d. Institution of a student conduct code proceeding in bad faith.
e. Attempting to discourage an individual's proper participation in, or use of, the student conduct system.
f. Attempting to influence the impartiality of a member of a Student Conduct Board prior to, and/or during the course of, the Student Conduct Board proceeding.
g. Harassment (verbal and physical) and/or intimidation of a member of a Student Conduct Board prior to, during, and/or after a student conduct code proceeding.
h. Retaliation toward any individual involved in the Student Conduct process.
i. Failure to comply with the sanction(s) imposed under the Student Code.
j. Influencing or attempting to influence another person to commit and abuse of the student conduct code system.
24. Any violation of a policy of Residential Life, including a list of policies specific to the Residence Hall community.
1. University disciplinary proceedings may be instituted against a student charged with conduct that potentially violated both the criminal law and this Student Code (that is, if both possible violations result from the same factual situation) without regard to pendency of civil or criminal litigation in court or criminal arrest and prosecution. Proceedings under this Student Code may be carried out prior to, simultaneously with, or following civil or criminal proceedings off campus at the discretion of the Vice President of Student Affairs. Determinations made or sanctions imposed under this Student Code shall not be subject to change because criminal charges arising out of the same facts giving rise to violation of University rules were dismissed, reduced, or resolved in favor of or against the criminal law defendant.
2. When a student is charged by federal, state, or local authorities with a violation of law, the University will not request or agree to special consideration for that individual because of his or her status as a student. If the alleged offense is also being processed under the Student Code, the University may advise off-campus authorities of the existence of the Student Code and of how such matters are typically handled within the University. The University will attempt to cooperate with law enforcement and other agencies in the enforcement of criminal law on campus and in the conditions imposed by criminal courts for the rehabilitation of student violators (provided that the conditions do not conflict with campus rules or sanctions). Individual students and other members of the University community, acting in their personal capacities, remain free to interact with government representatives as they deem appropriate.
D. Amnesty Provision
1. In an effort to protect the health, safety, and well-being of all students, the University will not impose sanctions that are punitive in nature against (i.e. it will grant "amnesty" to) those students who seek emergency medical attention for themselves or someone else related to the consumption of alcohol or other drugs. Additionally, any student who requires medical attention for the consumption of alcohol and other drugs will also be provided amnesty. Only sanctions related to the consumption and possession of alcohol and other drugs are covered under this provision.
While no punitive sanctions will be pursued, students involved may be required to attend educational counseling session(s) to provide counseling to prevent similar situations in the future. Not only does this provision serve to protect students, it also serves as an educational format to educate students on the abuse of alcohol and other drugs.
To fall within this provision, reporting students should:
- Contact appropriate officials (UPD, other law enforcement, etc.) to report the incident and request assistance
- Provide names and contact information to appropriate officials
- Demonstrate care and cooperation throughout incident by remaining with student in need of medical attention until appropriate officials arrive and fully cooperating with officials before, during, and after the incident
Failure to comply with any of the above steps or attending the educational counseling session(s) could result in conduct charges and possible punitive sanctions.
It should also be noted this provision only applies to University conduct charges. This provision does not grant amnesty from criminal, civil, or legal consequences for violations of Federal, State, or Local laws. Note that, in some instances, UPD may be bound to report certain possible criminal details to law enforcement or government agencies.
Furthermore, this provision only grants amnesty for consumption and/or possession of alcohol and other drugs. It does not provide amnesty for other conduct violations such as assault, theft, sexual misconduct and other Title IX violations, etc.
This provision only applies to initial incidents. Subsequent violations are not guaranteed amnesty from conduct charges and punitive sanctions. In rare cases, where there are egregious violations of alcohol and drug policies, the University reserves the right to adjudicate students on initial incidents.
Organizations are required to seek immediate medical assistance for their members or guests when any health risk is observed, including medical emergencies relating to the use of alcohol and/or drugs. Where an organization is found to be hosting an event where medical, emergency, or other professional assistance is sought for an intoxicated guest, the organization may be held responsible for violations of University policies, including those relating to alcohol and drugs. However, the organization's willingness to seek assistance will be viewed as a mitigating factor in determining sanctions.
Article IV: Student Conduct Code Procedures
A. Charges and Student Conduct Board Hearings
1. Any member of the University community may file charges against a student for violations of the Student Conduct Code. A charge shall be prepared in writing and directed to the Student Conduct Administrator. Any charge should be submitted as soon as possible after the event takes place, preferably within one week.
2. The Student Conduct Administrator may conduct an investigation to determine if the charges have merit and/or if they can be disposed of administratively by mutual consent of the parties involved on a basis acceptable to the Student Conduct Administrator. Such disposition shall be final and there shall be no subsequent proceedings. If the charges are not admitted and/or cannot be disposed of by mutual consent, the Student Conduct Administrator may later serve in the same matter as the Student Conduct Board or a member thereof. If the student admits violating institutional rules, but sanctions are not agreed to, subsequent process, including a hearing if necessary, shall be limited to determining the appropriate sanction(s).
3. All charges shall be presented to the Accused Student in written form. A time shall be set for a Student Conduct Board Hearing, not less than five nor more than fifteen calendar days after the student has been notified. Maximum time limits for scheduling of Student Conduct Board Hearings may be extended at the discretion of the Student Conduct Administrator.
4. Student Conduct Board Hearings shall be conducted by a Student Conduct Board according to the following guidelines except as provided by article IV(A)(7) below:
a. Student Conduct Board Hearings normally shall be conducted in private.
b. The Complainant, Accused Student and their advisors, if any, shall be allowed to attend the entire portion of the Student Conduct Board Hearing at which information is received (excluding deliberations). Admission of any other person to the Student Conduct Board Hearing shall be at the discretion of the Student Conduct Board and/or its Student Conduct Administrator.
c. In Student Conduct Board Hearings involving more than one Accused Student, the Student Conduct Administrator, in his or her discretion, may permit the Student Conduct Board Hearings concerning each student to be conducted either separately or jointly.
d. The Complainant and the Accused Student have the right to be assisted by an advisor they choose, at their own expense. The Complainant and/or the Accused Student is responsible for presenting his or her own information, and therefore, advisors are not permitted to speak or to participate directly in any Student Conduct Board Hearing before a Student Conduct Board. A student should select as an advisor a person whose schedule allows attendance at the scheduled date and time for the Student Conduct Board Hearing because delays will not normally be allowed due to the scheduling conflicts of an advisor.
e. The Complainant, the Accused Student and the Student Conduct Board may arrange for witnesses to present pertinent information to the Student Conduct Board. The University will try to arrange attendance of possible witnesses who are members of the University community, if reasonably possible, and who are identified by the Complainant and/or Accused Student at least two weekdays prior to the Student
Conduct Board Hearing. Witnesses will provide information to and answer questions from the Student Conduct Board. Questions may be suggested by the Accused Student and/or Complainant to be answered by each other or by other witnesses. This will be conducted by the Student Conduct Board with such questions directed to the chairperson, rather than to the witness directly. This method is used to preserve the educational tone of the hearing and to avoid creation of an adversarial environment. Questions of whether potential information will be received shall be resolved in the discretion of the chairperson of the Student Conduct Board.
f. Pertinent records, exhibits, and written statements (including Student Impact Statements) may be accepted as information for consideration by a Student Conduct Board at the discretion of the chairperson.
g. All procedural questions are subject to the final decision of the chairperson of the Student Conduct Board.
h. After the portion of the Student Conduct Board Hearing concludes in which all pertinent information has been received, the Student Conduct Board shall determine (by majority vote if the Student Conduct Board consists of more than one person) whether the Accused Student has violated each section of the Student Code which the student is charged with violating.
i. The Student Conduct Board's determination shall be made on the basis of whether it is more likely than not that the Accused Student violated the Student Code.
j. Formal rules of process, procedure, and/or technical rules of evidence, such as are applied in criminal or civil court, are not used in Student Conduct proceedings.
5. There shall be a single verbatim record, such as a tape recording, of all Student Conduct Board Hearings before a Student Conduct Board (not including deliberations). Deliberations shall not be recorded. The hearing record shall be maintained by the Student Conduct Administrator. A student wishing to review the record for purposes of an appeal must do so by scheduling a time with the Student Conduct Administrator to review the record in person in the Student Affairs Office. The hearing record is closed to all other persons except University employees with a legitimate educational interest and such persons who have a specific right of access under pertinent state or federal law.
6. If an Accused Student, with notice, does not appear before a Student Conduct Board Hearing, the information in support of the charges shall be presented and considered even if the Accused Student is not present.
7. The Student Conduct Board may accommodate concerns for the personal safety, wellbeing, and/or fears of confrontation of the Complainant, Accused Student, and/or other witness during the hearing by providing separate facilities, by using a visual screen, and/or by permitting participation by telephone, videophone, closed circuit television, video conferencing, videotape, audio tape, written statement, or other means, where and as determined in the sole judgment of Vice President of Student Affairs to be appropriate.
B. Sanctions
1. The following sanctions may be imposed upon any student found to have violated the Student Code:
a. Warning—A notice in writing to the student that the student is violating or has violated institutional regulations and includes the possibility of more severe disciplinary sanctions if the student is found to further violate any institutional regulation(s).
b. Probation- A written reprimand for violation of specified regulations with an associated probation for a designated period of time and includes the probability of more severe disciplinary sanctions if the student is found to violate any institutional
regulation(s) during the probationary period.
i. Campus Conduct Probation
1. This is a formal probationary status for a period of time as specified by the Board
2. Restrictions and provisions of this probation are individualized to allow for the particular need of the student, the University and/or situation
3. The student will be prohibited from holding office in extracurricular clubs, governing groups and activities
4. Any further violation of residence hall standards or University regulations while on probationary status means that the student is subject to further disciplinary action
ii. Strict Campus Conduct Probation
1. This action is a formal probationary status during which the student is removed from good standing at the University
2. This term describes a set of conditions making it possible for a student to remain a student in the residence halls and/or the University in spite of a serious violation
3. The status is very near dismissal from the residence halls and/or from the University, and indicates the extreme seriousness of the probation
4. The student will have the following conditions imposed when removed from good standing. These conditions will remain in effect until the student is returned to good standing at the University
a. Student will be ineligible to graduate from this University until returned to good standing
b. Student will be restricted from operating or parking a vehicle on University property
c. Student will be restricted from representing the University in any public performance or exhibit, sporting event, intramural event, committee assigned or in running for and/or holding any governmental office or any office in a recognized student organization
d. Student will be ineligible to receive scholarships and/or grants from the University with the exception of need-based aid
5. Any further violation of University or residence hall standards while on probationary status means that a student is subject to suspension from the residence halls and/or the University
c. Loss of Privileges—Denial of specified privileges for a designated period of time.
d. Educational Response
i. Mandatory online or in person classes regarding specific topics (i.e. alcohol, marijuana use, etc.). Board may impose a deadline for completion of program.
e. Fines—Fines may be levied as a sanction. The amount of a fine should correspond to the severity of the violation with a maximum fine of $400 per violation.
f. Restitution—Compensation for loss, damage, or injury. This may take the form of appropriate service and/or monetary or material replacement.
g. Discretionary Sanctions—Work assignments, essays, service to the University, or other related discretionary assignments.
h. Residence Hall Suspension—Separation of the student from the residence halls for a definite period of time, after which the student is eligible to return. Conditions for readmission may be specified.
i. Residence Hall Expulsion—Permanent separation of the student from the residence halls.
j. University Suspension—Separation of the student from the University for a definite period of time, after which the student is eligible to return. Conditions for readmission may be specified.
k. University Expulsion—Permanent separation of the student from the University.
l. Revocation of Admission and/or Degree—Admission to or a degree awarded from the University may be revoked for fraud, misrepresentation, or other violation of University standards in obtaining the degree, or for other serious violations committed by a student prior to graduation.
m. Withholding Degree—The University may withhold awarding a degree otherwise earned until the completion of the process set forth in this Student Conduct Code, including the completion of all sanctions imposed, if any.
2. More than one of the sanctions listed above may be imposed for any single violation.
a. Other than University expulsion or revocation or withholding of a degree, disciplinary sanctions shall not be made part of the student's permanent academic record, but shall become part of the student's disciplinary record. Upon graduation, the student's disciplinary record may be expunged of disciplinary actions other than residence hall expulsion, University suspension, University expulsion, or revocation or withholding of a degree, upon application to the Student Conduct Administrator. Cases involving the imposition of sanctions other than residence hall expulsion, University suspension, University expulsion or revocation or withholding of a degree shall be expunged from the student's confidential record five (5) years after final disposition of the case.
b. In situations involving both an Accused Student(s) (or group or organization) and a student(s) claiming to be the victim of another student's conduct, the records of the process and of the sanctions imposed, if any, shall be considered to be the education records of both the Accused Student(s) and the student(s) claiming to be the victim because the educational career and chances of success in the academic community of each may be impacted.
3. The following sanctions may be imposed upon groups or organizations:
a. Those sanctions listed above in article IV(B)(1)(a)-(g).
b. Loss of selected rights and privileges for a specific period of time.
c. Deactivation. Loss of all privileges, including University recognition, for a specified period of time.
4. In each case in which a Student Conduct Board determines that a student and/or group or organization has violated the Student Code, the sanction(s) shall be determined and imposed by the Student Conduct Administrator. In cases in which persons other than, or in addition to, the Student Conduct Administrator have been authorized to serve as the Student Conduct Board, the recommendation of the Student Conduct Board shall be considered by the Student Conduct Administrator in determining and imposing sanctions. The Student Conduct Administrator is not limited to sanctions recommended by members of the Student Conduct Board. Following the Student Conduct Board Hearing, the Student Conduct Board and the Student Conduct Administrator shall advise the Accused Student
(and a complaining student who believes s/he was the victim of another student's conduct) in writing of its determination and of the sanction(s) imposed, if any.
C. Interim Suspension
As set forth herein, the Vice President of Student Affairs, or a designee, may impose a University or residence hall suspension prior to the Student Conduct Board Hearing before a Student Conduct Board.
1. Interim suspension may be imposed only when there is reasonable cause to believe the student's participation in certain University activities will lead to conduct that threatens the health or safety of any member of the University community; or other activity that is disruptive to the orderly operation of the University.
2. During the interim suspension, a student's access will be restricted to the minimum extent necessary as the Vice President of Student Affairs or the Student Conduct Administrator may determine to be appropriate.
3. The interim suspension does not replace the regular process, which shall proceed on the normal schedule, up to and through a Student Conduct Board Hearing, if required. However, the student will be notified in writing of this action and the reasons for the suspension. The notice will include the process for a student to appeal the interim suspension decision.
4. Appeals of an interim suspension are considered by an Appeal Board made of three (3) Northwest Leadership Team members. The student's appeal should include information the student would like considered by the Appeal Board. When submitting an appeal, the student may write a letter and submit any evidence for the Appeal Board to show why there was no reasonable cause for the interim suspension. The student will be given notice of the date and time of the meeting of the Appeal Board, which will take place within seven (7) days of the interim suspension appeal. Limited exceptions to this timeline may apply on a case by case basis. Students will not be present for this meeting unless requested by the Appeal Board. The Appeal Board has the option to uphold, overturn, or modify the interim suspension. The Appeal Board will make a determination and communicate the determination to the student. Decisions of this Board are final. The terms of the Interim Suspension will be in effect until a final decision is made by the Appeal Board.
5. Notice of an interim suspension will not be used as evidence in a Student Conduct Board Hearing. However, failure to comply with the provisions of an interim suspension is a violation of this Student Code of Conduct and may be used as evidence when there is an alleged violation of the provisions of the interim suspension.
D. Appeals
1. A decision reached by the Student Conduct Board or a sanction imposed by the Student Conduct Administrator may be appealed on the grounds specified in Section IV. D. 2 by the Accused Student(s) or Complainant(s) to an Appellate Board established by the University within five (5) school days of the decision, or at such later time as reasonably determined by the Appellate Board. Such appeals shall be in writing and shall be delivered to the Student Conduct Administrator or his or her designee.
2. Except as required to explain the basis of new information, an appeal shall be limited to a review of the verbatim record of the Student Conduct Board Hearing and supporting documents for one or more of the following purposes:
a. To determine whether the Student Conduct Board Hearing was conducted fairly in light of the charges and information presented, and in conformity with prescribed procedures giving the complaining party a reasonable opportunity to prepare and to present information that the Student Code was violated, and giving the Accused Student a reasonable opportunity to prepare and to present a response to those allegations. Deviations from designated procedures will not be a basis for sustaining an appeal unless significant prejudice results.
b. To determine whether the decision reached regarding the Accused Student was contrary to the substantial weight of the evidence such that no reasonable person would have found a violation of the Student Code.
c. To determine whether the sanction(s) imposed were appropriate for the violation of the Student Code which the student was found to have committed.
d. To consider new information, sufficient to alter a decision, or other relevant facts not brought out in the original hearing, because such information and/or facts were not known to the person appealing at the time of the original Student Conduct Board Hearing.
3. If the accused student or accused student organization files an appeal in a case involving an alleged victim, the written appeal will be shared with the alleged victim. The alleged victim will be given an opportunity to provide a written response to the appeal, and the response will be provided to the Appellate Board for consideration. If the alleged victim submits the written appeal, it will be shared with the accused. The accused will be given an opportunity to provide a written response to the appeal, and the response will be provided to the Appellate Board for consideration.
4. After reviewing the appeal and related information, the Appellate Board may accept, modify, or reject the decision and/or sanction imposed. The Appellate Board may also remand the case for a new hearing in appropriate circumstances (e.g., procedural issues with first hearing, newly discovered information). The Appellate Board will issue a short written statement of its decision, including the reasons for it, and this statement will be provided to the party(ies). The decision of the Appellate board is final and binding upon all involved, except in cases that have been remanded for another hearing.
Article V: Interpretation and Revision
A. Any question of interpretation of application of the Student Code shall be referred to the Vice President of Student Affairs or his or her designee for final determination.
B. The Student Code should be reviewed no less than every five years under the direction of the Student Conduct Administrator.
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Before the
Federal Communications Commission Washington, D.C. 20554
In the Matter of
)
)
Amendment of Part 74, Subpart D of the)
ET Docket 01-75
Commission's Rules
)
)
Petition for Rulemaking of Society of Broadcast Engineers, Inc.
)
RM-11648
)
)
Petition for Rulemaking of Engineers for the Integrity of Broadcast Auxiliary Services Spectrum
)
RM-11649
)
COMMENTS OF THE NATIONAL ASSOCIATION OF BROADCASTERS
Pursuant to Section 1.4(b)(1) of the Commission's rules, 47 C.F.R. § 1.4(b)(1), the National Association of Broadcasters (NAB) 1 hereby comments on the abovecaptioned Petitions for Rulemaking. 2 NAB supports the goal of both Petitioners to facilitate the use of digital technologies by Broadcast Auxiliary Services (BAS) Remote Pickup (RPU) stations, and respectfully urges the Commission to promptly initiate a rulemaking proceeding to explore their requests. In addition, NAB asks the Commission, in the interim, to consider SBE's request to waive portions of Section 74.462 of the
1 NAB is a nonprofit trade association that advocates on behalf of free, local radio and television stations and also broadcast networks before Congress, the Commission and the Courts.
2 Petition for Rulemaking, Society of Broadcast Engineers, Inc., RM-11648 (filed Nov. 7, 2011) (SBE Petition); Petition for Rulemaking, Engineers for the Integrity of Broadcast Auxiliary Services Spectrum, RM-11649 (filed Oct. 4, 2011) (EIBASS Petition).
rules, which prohibit the use of certain digital voice and data emissions for RPU in the BAS service. 3
As SBE suggested, the conversion of RPU stations from analog to narrowband digital channels should be encouraged by the Commission. However, the current rules governing other BAS systems, including RPU stations, do not allow the use of narrowband digital technologies. Both SBE and EIBASS ask the Commission to harmonize the current channelization plans to allow the operation of narrowband digital channels for RPU stations using existing digital narrowband equipment authorized under Part 90. 4 NAB agrees. Doing so will provide RPU licensees the flexibility to choose from the wide variety of digital radios that are already available in the market and comply with Part 90, consistent with the Commission's long-standing aim in this proceeding. 5 In turn, the ability to use off-the-shelf digital equipment will create incentives for RPU licensees to convert to digital systems, thereby increasing spectrum efficiency.
In 2002, the Commission adopted a channelization plan that enabled RPU stations to "stack" narrowband channels where needed to transmit wider bandwidth program material. 47 C.F.R. § 74.402. The plan allows the stacking of 7.5 kHz channels in the 150-160 MHz band and 6.25 kHz channels in the 450 MHz band. However, the Commission-specified center frequencies for channels in these bands
3 Request for Temporary Waiver, Society of Broadcast Engineers, Inc. (filed Nov. 7, 2011).
5 Revisions to Broadcast Auxiliary Service Rules in Part 74 and Conforming Technical Rules for Broadcast Auxiliary Service, Cable Television Relay Service and Fixed Services in Part 74, 78 and 101 of the Commission's Rules, Report and Order, 17 FCC Rcd 22979, 23022 (2002) (2002 BAS RPU Order).
4 SBE Petition at 2-3; EIBASS Petition at 2-4.
make it difficult and spectrally inefficient to operate both digital and analog RPU systems on the existing channel plan. As a result, RPU stations typically must license additional bandwidth leading to less than optimal use of the BAS spectrum. SBE Petition at 4-5; EIBASS Petition at 3-5.
Both Petitioners suggest mechanisms to rectify this problem. EIBASS proposes that broadcasters be allowed to use whatever channel center frequencies are needed in order to stack 6.25 kHz wide channels into whatever bandwidth is needed, and to split 25 kHz wide channels into either 6.25 kHz or 12.5 kHz wide channels as necessary. EIBASS Petition at 12. SBE proposes that broadcasters be allowed to stack channels in 3.125 kHz segments in the frequency ranges already specified in the Commission's rules. SBE Petition at 5. Although either method would be acceptable, NAB may prefer SBE's approach because it appears simpler and more straight-forward to implement. The SBE method would allow the Commission to retain the existing channel frequency centers already specified in the rules, rather than creating a new table of channel frequency centers with varying bandwidths.
Accordingly, NAB supports the Petitions for Rulemaking submitted by SBE and EIBASS, respectfully. Specifically, we urge the Commission to initiate a rulemaking proceeding to consider their requests, and to consider, in the interim, SBE's request to
waive parts of Section 74.462 that prohibit the use of certain digital voice and data emissions for RPU in the BAS service.
Respectfully submitted,
NATIONAL ASSOCIATION OF BROADCASTERS 1771 N Street, NW Washington, DC 20036 (202) 429-5430
Victor Tawil NAB Science & Technology
Jane E. Mago Jerianne Timmerman Lawrence A. Walke
Dated: January 20, 2012
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Subject: : Fly Tying
URL:
Topic: : Crayfish Flies
Re: Crayfish Flies
Author: : dc410
Date: : 2013/3/24 22:11:25
Suggestions I ask for for ..... and suggestions I got! That is one of the great benefits IMO of this forum and the wealth of information that folks are willing to share. I took the suggestion from FI on one of the original replies on this thread and went back to the vise. I thought that natural rabbit strips would be the answer for the material for the claws. I tied one with natural rabbit and my son looked at it and said he thought there was too much contrast between the claws and the body. He asked if I had any darker rabbit strips. I happened to have both black and an assortment of olive ones. Here is the result of the natural vs. the olive rabbit strip claws with the rest of the pattern the same as my original one. Personally, I think the olive is a really good look. Man, I can't wait to fish them! Thanks for all the replies.
Attach file:
Crayfish 6.jpg
(24.55 KB)
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Application for Graduate Teaching Assistantship
Applied English Center 1410 Jayhawk Blvd. The University of Kansas
Lawrence, KS 66045-7515 U.S.A.
Phone: 1-785-864-4606
Fax:
1-785-864-5050
E-mail: [email protected]
Applicant Information
Date:
This application is for the Fall / Spring / Summer term, _
Name:
Last
First
Middle
Address:
Number & Street
City
State
Zip
Telephone:
E-Mail:
Place of birth:
City
State
Country
Non-Native speakers of English: (Attach copies of all score reports)
Date: ___________________
TOEFL:
-OR- AEC:
Total
Listen.
Comp.
Gram. &
Writ.
Read. &
Vocab.
Total
Listen.
Comp.
Writing
Grammar Reading
Date
-AND-
TSE:
-OR- SPEAK:
Date:
Degree (to be) pursued at KU:
Field:
Department:
First term in degree program: Term:
Year:
High Schools/Colleges/Universities attended
Institution
Location
Dates Attended
Diploma/Degree Received
Year
Courses taken in TESOL, applied linguistics, or other relevant areas (include courses in progress)
Course title/Number
Instructor
Institution
Dates
Teaching experience or related work (most recent first)
Institution & Location
Supervisor
Subjects
Dates
CALL (Computer Assisted Language Learning) experience
Institution & Location
Supervisor
Program
Dates
Foreign residence and travel:
Language proficiency other than English: Indicate E(excellent), G(good), F(fair), or P(poor)
Language
Speaking
Understanding
Reading
Writing
References: Three people (preferably instructors or supervisors) you will ask to write references for you:
Application procedures
1. Fill out and return the application form and have three references and up-to-date, original certified transcript(s) (in English) of your college/university work sent directly to the Applied English Center. Application forms and reference blanks are available from the Applied English Center office. Mail or email application, transcripts, letters of reference and other materials to:
Applied English Center 1410 Jayhawk Blvd. University of Kansas Lawrence, KS 66045-7515, USA [email protected]
2. Non-native speakers of English: Send in copies of your TOEFL and TSE score reports or arrange to take tests at the AEC office prior to the application deadline. (The AEC tests are offered at no charge to students admitted to the University.) Applicants' English proficiency will be confirmed during the interview process.
3. Send evidence that you are currently enrolled in or accepted for graduate study at the University of Kansas. Please email a copy of your letter of admission.
4. Please attach a written description of your professional interests, background, and experience in teaching with specific reference to how your studies and goals relate to teaching at the Applied English Center (no more than 400 words).
5. We interview candidates on an as-needed basis. You will be contacted for an interview if we anticipate possibly needing to hire graduate teaching assistants. Candidates who have been selected and interviewed will be notified of their status as soon as possible.
Application Deadlines
For fall semester appointments For spring semester appointments For summer semester appointments
March 20 October 4 February 20
The University of Kansas is an equal opportunity/affirmative action employer. Applications are sought from all qualified persons regardless of race, religion, color, sex, disability, national origin, ancestry, sexual orientation, marital or parental status and, to the extent covered by law, age or veteran status.
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ISU Member:
Category:
Name of the team:
Coach:
Extra practice ice cost is €40 for a session! One session is 10 minutes long. The time is restricted in the ice hall.
| Requ | ested Extra Practice Ice | Number of sessions | Costs |
|---|---|---|---|
| Tuesday, 14th March 2017 | | | x40€ |
| Wednesday, 15th March 2017 | | | x40€ |
| Thur | sday, 16th March 2017 | | x40€ |
| Total Costs: | | | |
All requests will be reviewed accordingly to the ice rinks availability and in order of incoming Extra Practice Ice Forms to the Organizing Committee of Budapest Cup 20017.
Extra practice ice must be paid in cash (€) upon registration.
For additional extra practice ice in other days, preceding the competition, please contact the organizing committee!
Signature
Filled by:
Title:
Date:
Signature (at registration):
EXTRA PRACTICE ICE (5.)
Deadline: 5 th January 2017
Please fill in with typewriting or write in capital letters!
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UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
Case No. 10-1726
_____________________________________________________________
UNITED STATES OF AMERICA
Plaintiff-Appellee, v.
PETER E. HENDRICKSON
Defendant-Appellant.
_____________________________________________________________
ON APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF MICHIGAN (ROSEN, G.)
_____________________________________________________________
APPELLANT'S PETITION FOR REHEARING EN BANC
____________________________________________________________
Peter E. Hendrickson Proceeding In Propria Persona 232 Oriole Rd. Commerce Twp., Michigan 48382 248-366-6858 [email protected]
TABLE OF CONTENTS
TABLE OF AUTHORITIES
Page(s)
I. STATEMENT REQUIRED BY RULE 35(b)
Appellant, Mr. Hendrickson, respectfully requests a rehearing en banc of the panel ruling issued February 8, 2010 in the above-captioned case, to address all portions of the decision other than that concerning the "obstruction of justice" sentence enhancement. The remainder of the ruling creates a multitude of conflicts with well-settled precedents of this Court, numerous other circuits and the Supreme Court. Cases in conflict include: U.S. v. Gaudin, 515 U.S. 506 (S.Ct. 1995), Kungys v. U.S., 485 US 759 (S.Ct. 1997), Melendez-Diaz v. Massachusetts, 129 S.Ct. 2527 (2009), Crawford v. Washington, 541 US 36 (S.Ct. 2004), Helvering v. Morgan's, Inc., 293 US 121 (S.Ct. 1934), Fed. Land Bank of St. Paul v. Bismarck Lumber Co., 314 US 95 (S.Ct. 1941), Sims v. U.S., 359 US 108 (S.Ct. 1959), Neal v. Clark, 95 US 704 (S.Ct. 1878), Meese v. Keene, 481 US 465 (S.Ct. 1987), Western Union v. Lenroot, 323 US 490 (S.Ct. 1945), Stenberg v. Carhart, 530 US 914 (S.Ct. 2000), U.S. v. Tarwater, 308 F.3d 494 (6CA 2002), U.S. v. Latouf, 132 F.3d 320 (6CA 1997), U.S. v. Ayoub, 498 F.3d 532 (6CA 2007), U.S. v. Safa, 484 F.3d 818 (6CA 2007), U.S. v. Lee, 359 F.3d 412 (6CA 2004), U.S. v. Kratt, 579 F.3d 558 (6CA 2009), U.S. v. Williams, 952 F.2d 1504 (6CA 1991), Mobley v. CIR, 532 F.3d 491 (6CA 2008), U.S. v. Uchimura, 107 F.3d 1321 (9CA 1997), Brigham v. U.S., 160 F.3d 759 (1CA 1998), U.S. v. Bass, 784 F.2d 1282 (5CA 1986), U.S. v. Peters, 153 F.3d 445 (7CA 1998), U.S. v. Reynolds, 919 F.2d 435 (7CA 1990) and U.S. v. Borman, 992 F.2d 124 (7CA 1993).
In light of the degree of conflict between multiple aspects of this ruling and a multitude of other federal courts, not least including this Honorable Court's own well-settled precedents, this case presents matters of exceptional importance.
II. REASONS WHY THIS APPEAL SHOULD BE RE-HEARD EN BANC
A. The Conclusion That "Materiality" Need Not Be Proven Is In Conflict With The Precedents of This Court, The Supreme Court And At Least The 9th Circuit
In 1995, in U.S. v. Gaudin, 515 U.S. 506, the Supreme Court held that "materiality" is a "mixed question of law and fact" which can never be deemed inherent or inferred. On the contrary, "materiality" must be established by testable evidence. In fact, in Gaudin the Supreme Court finds that a failure to present evidence of "materiality" "raises a question of "law" that warrants dismissal" (Gaudin at 517). Two years later, in Kungys v. U.S., 485 U.S. 759, the Court emphasizes that "materiality" must be proven with "clear, unequivocal and convincing evidence" rather than inference or implication.
This Court explicitly adopted the Gaudin doctrine in U.S. v. Latouf, 132 F.3d 320 (1997), and has consistently upheld that doctrine. Until now.
In Mr. Hendrickson's trial, the term "material" was not uttered in any form by any prosecution witness. No effort was made to prove "materiality" to the jury. Nonetheless, the panel has denied his appeal on this issue.
In explanation of its denial, the panel presents only this: "Further, "[i]n a prosecution under sec. 7206(1), any failure to report income is material." United States v. Tarwater, 308 F.3d 494, 505 (6th Cir. 2002) (internal quotation marks omitted)." This language suggests that any (presumably proven) failure to report income is thus established as "material" without further evidence.
However, the language quoted is actually from a pre-Gaudin 1989 9th circuit case, United States v. Holland, 880 F.2d 1091, expressing a doctrine longsince rejected by the 9th Circuit itself (see U.S. v. Uchimura, 107 F.3d 1321 (9CA 1997). It appears in Tarwater simply as supplemental support for another cite used to define "material" for that case (."..capable of influencing ... the ability of the IRS to audit or verify the accuracy of a return.").
The Tarwater Court expresses its actual doctrine on proving "materiality" immediately following the Holland cite: "Here, materiality was established by [IRS Revenue Agent] Barton's testimony that Tarwater's failure to report sizeable amounts of income was capable of influencing the IRS in the audit of Tarwater's tax returns."
The government was required to produce testimony in its effort to prove that Tarwater's failure to report income was, in fact, "material," in keeping with this Court's actual doctrine. In his case, no relevant witnesses testified and no effort was made to carry the government's burden of proof.
The denial of his appeal over the government's failure to prove "materiality" is not only unsupported by any authority, but is in conflict with the very ruling of this Court cited in that denial. It is also in conflict with this Court's rulings in at least U.S. v. Latouf, 132 F.3d 320 (1997), U.S. v. Ayoub, 498 F.3d 532 (2007), U.S. v. Safa, 484 F.3d 818 (2007), U.S. v. Lee, 359 F.3d 412 (2004) and U.S. v. Kratt, 579 F.3d 558 (2009); as well as the Supreme Court in U.S. v. Gaudin, 515 U.S. 506 (1995) and Kungys v. U.S., 485 759 (1997), and the 9th Circuit in U.S. v. Uchimura, 107 F.3d 1321 (1997).
B. The Conclusion That Untestable Documents Can Be Submitted As Evidence Of Inculpatory Conclusions Of Their Creators Without Violating Confrontation Rights Is In Conflict With The Supreme Court
The Supreme Court has clearly established that documents unsupported by competent testimony subject to challenge cannot be presented as evidence for any matter asserted on, or represented by, the document itself.
At trial, the district court allowed the government to publish to the jury 739 pages of witnessless documents, over Mr. Hendrickson's objections. This was despite the fact that these documents were published for the express purpose of serving as evidence that "the Internal Revenue Service was of the view that Personnel Management Inc.'s payments to Mr. Hendrickson constituted wages," as was declared twice to his jury by Judge Rosen (Trial Transcript, Vol. 2 at 267; Vol. 3 at 437).
The panel denies Mr. Hendrickson's appeal of this issue by saying that, "…the documents, even if testimonial, were admissible because they were used only to show that Hendrickson was on notice that his interpretation of tax law concerning wages had been rejected and that his refusal to comply with the law was therefore willful, not to show that Hendrickson's earnings constituted taxable wages." No explanation is given for how evidence of his knowing that someone else might have a differing view of the law than his own could be relevant to "willfulness."
In any event, this language misstates both the record and his argument on this issue. The documents were not used only to show what the panel says, and Mr. Hendrickson does not argue that his confrontation rights were violated because the documents "show that Hendrickson's earnings constituted taxable wages" or were expressly introduced to persuade the jury toward that conclusion (however obvious it is that they will have had precisely that prejudicial effect on a jury, who will presume the alleged holders of this official "view" to have the appropriate
expertise, relevant knowledge of the facts and honesty needed to express meaningful conclusions about his earnings).
What Mr. Hendrickson actually argue is that his rights were violated because the documents were explicitly used to assert that "the IRS was of the view" that his earnings constitute taxable wages. If made at all, this assertion should have been made by those allegedly of that "view" – on the stand and under oath. Mr. Hendrickson should have had an opportunity to impeach that assertion and possibly prove that no one at the IRS actually IS of this "view," or that if they are, they have no qualifications and/or personal fact knowledge on which to legitimately base such a view.
In short, his appeal on this issue concerns his right under the Confrontation Clause to test the truth of a matter which his jury was expressly instructed to take as proven by these documents.
Having focused on a non-issue, the panel has rendered a denial on the real issue. Thus, the panel upholds a violation of Mr. Hendrickson's right under the Confrontation Clause, putting this Court in conflict with the Supreme Court's rulings in at least Melendez-Diaz v. Massachusetts, 129 S.Ct. 2527 (2009) and Crawford v. Washington, 541 U.S. 36 (2004).
C. The Conclusion Concerning Jury Instructions Puts This Court In Multi-Faceted Conflicts With Its Own Precedents And Those Of The Supreme And Other Courts
In trial, Mr. Hendrickson insisted that his jury be instructed with the actual statutory definitions relevant to the qualifications of "wages" required to be reported as such on tax returns found at 26 U.S.C. §3401(a) and §3121(a). In lieu of the actual statutes, and over his objection, the judge gave his jury prosecutionwritten "interpretations" of these definitions instead, which were so designed as to lead the jury to conclude that ALL pay to ANYONE for providing services qualifies as "wages."
The simple fact that the actual statutory definitions contain numerous excepted categories of payments not qualifying as "wages" means these "interpretations" are manifestly incorrect. Further, and in any event, the fact that they were given at all is a tacit admission that they ARE meaningfully different from the language in lieu of which they were given.
In light of the foregoing; the fact that the charges concern the accuracy of his assertions that Mr. Hendrickson did not believe himself to have received what qualifies as "wages"; and the fact that his defense focused on the fact that not all payments are "wages"; his requested instructions are NOT substantially covered by the charge actually given to the jury, and concern a point so important in the trial that the failure to give it substantially impaired his defense.
In its ruling, the panel fails to address Mr. Hendrickson's appeal on this point at all. This is made clear by its disposal of this issue:
The district court properly defined both "wages" and "employee," rejecting Hendrickson's claim that the term "employee" includes only the persons listed in 26 U.S.C. 3401(c).
In fact, Mr. Hendrickson did NOT claim that the term "employee" includes only the persons listed in 26 U.S.C. §3401(c). Nor did Mr. Hendrickson argue that "wages" are limited to payments to those listed persons.
Rather, Mr. Hendrickson very clearly and exhaustively pointed out that the meaning of "wages" in §3401(a) is limited in the statutory structure to payments for services rendered to those in the CLASS exemplified by those persons enumerated in §3401(c), not the listed persons themselves (and that of "wages" in §3121(a) is limited to payments to those qualifying as "in employment" as defined in Chapter 21 of the Internal Revenue Code).
For example: "The term "employee" is defined "for purposes of this chapter" at 26 U.S.C. §3401(c) as a particular class of workers, illustrated by the following list of specific members: [the enumerated list follows]." (Appellate Supp. Brief, page 14.) In response to a question on the subject from the government in trial, Mr. Hendrickson said: "Not exclusively to those specific listed people, but to that class of people, yes." (Trial Transcript Vol. 4 at 627, Appellant's Brief p. 15.)
More to the immediate point, the purpose of that presentation was not to argue about the proper construction of "employee." The point was the illumination of the real meaning of "wages," which is the actual subject of this issue on appeal.
Thus, the panel issued a ruling on a point never in contention, while failing to rule on the actual issue presented regarding the jury instructions, to which the proper limits of the term "employee" as defined in §3401(c) is merely peripheral. Again, his actual challenge concerns the objective correctness of what his jury was led to believe qualifies as "wages" required to be reported as such on federal tax forms.
To actually dispute or deny his challenge on this issue, even if sticking to the "employee" aspect of the statutory structure, the panel would have to declare something to the effect of: ""Employee" as meant in §3401(c) includes ALL workers of ALL kinds and ALL circumstances" or even, "The district court properly rejected Hendrickson's claim that the term "employee" includes only those in the CLASS of persons exemplified by those enumerated in its definition."
The panel says neither of these things, or anything like them. Instead it merely knocks down a straw-man.
Having failed to address the real issue of the erroneous "wage" instruction and the refusal to instruct with the actual statutory language, the ruling puts this
Court in conflict with its own correct doctrine on this issue as explicated in United States v. Williams, 952 F.2d 1504 (1991).
Further, though the avoidance of his real argument actually concedes its correctness, the denial of his appeal gives an appearance of endorsing a construction of explicit statutory definitions as being merely complementary of some external definition rather than exclusive. This puts the Court in conflict with Supreme Court rulings in Meese v. Keene, 481 U.S. 465 (1987), Stenberg v. Carhart, 530 U.S. 914 (2000) and Western Union v. Lenroot, 323 U.S. 490 (1945).
The same construction gloss also suggests that the "includes" mechanism used in the statutory definition of "employee" at §3401(c) should be read as meaning "also includes." This puts the Court in direct conflict with its own very recent and plainly-articulated precedent in Mobley v. CIR, 532 F.3d 491 (2008), as well as with the additional Supreme Court rulings in Helvering v. Morgan's, Inc. 293 U.S. 121 (1934), Fed. Land Bank of St. Paul v. Bismarck Lumber Co., 314 U.S. 95 (1941), Sims v. U.S., 359 U.S. 108 (1959), Neal v. Clark, 95 U.S. 704 (1878), and with at least the 1st Circuit in Brigham v. U.S., 160 F.3d 759 (1998) and the 5th Circuit in U.S. v. Bass, 784 F.2d 1282 (1986).
D. The Conclusion That Objective Falseness Need Not Be Proven In This Case Puts The Court In Conflict With Its Own Precedents And Those Of The Supreme And Other Courts
The instructions given to his jury were calculated to force a conclusion that if ANY payment were proven to have been made to Mr. Hendrickson (a simple matter, since Mr. Hendrickson readily admitted being paid for his work), a report of $0 "wages" on his tax forms would be objectively false – that is, factually incorrect. As discussed above, this formulation was itself false, and in his appeal Mr. Hendrickson challenge the conviction for the government's failure to attempt any actual proof of the element of "objective falseness." No mention of this issue appears in the panel's ruling.
In order to prove that his reports were objectively false, the government would need to prove that Mr. Hendrickson actually DID receive "wages." This cannot be done by merely proving that Mr. Hendrickson received payments, nor by false jury instructions suggesting that all payments are "wages."
Certainly, no good-faith effort to prove this element would proceed this way. A good-faith effort would have someone take the stand and explain what are and are not "wages," or a comprehensive explanation would be provided to the jury from the bench, and in neither case would "words of art" be deployed. Then the government would attempt to present competent testimony as to facts allegedly putting payments to Mr. Hendrickson in the "wages" category.
Here, instead, we have a trial in which complex, contrived "interpretations" of statutes suggesting that all payments are "wages" are given to the jury, but with no one ever actually daring to say this on the stand. Here, we have hundreds of pages of documents which the judge declares to be evidence of "official views" that his earnings are "wages," but without anyone ever actually daring to say this on the stand.
The alleged objective "falseness" of Mr. Hendrickson's reports was clearly never proven, and no attempt to prove it was made in his trial.
In any event, objective "falseness" is not mentioned even once in the panel's ruling.
The panel's failure to address this issue constructively holds that "objective falseness" need not be proven. This puts the Court in conflict with its own precedent in U.S. v. Kratt, 579 F.3d 558 (2009); the Supreme Court in U.S. v. Gaudin, 515 U.S. 506 (1995) and the 7th Circuit in U.S. v. Peters, 153 F.3d 445 (1998), U.S. v. Reynolds, 919 F.2d, 435 (1990) and U.S. v. Borman, 992 F.2d 124 (1993)
E. The Conclusion On The Issue Of "Willfulness" Puts The Court In Conflict With Its Own Precedents And Those Of The Supreme And Other Courts
The one time the term "false" appears in the ruling it is treated as exclusively relevant to "willfulness":
The prosecution presented evidence that Hendrickson received remuneration during the years in question and that he had reported similar payments as taxable wages in previous years. Based on that evidence, a rational juror could have concluded that Hendrickson was aware that his earnings constituted taxable wages and that his tax forms asserting to the contrary were knowingly false.
This explanation does NOT say, "The prosecution presented evidence that Hendrickson received 'wages' for the years in question," suggesting that the panel itself is not willing to say his earnings qualify as "wages," and also that whether they so qualify is irrelevant to the question of whether Mr. Hendrickson violated a "legal duty." In any event, the overall reasoning here fails under analysis.
After all, if a rational juror could come to the suggested conclusion from the raw material described, then one could as legitimately conclude that a grown man would be lying were he to deny believing in Santa Claus. After all, at one time the perjurious villain actually wrote letters to the jolly old elf.
Furthermore, the raw material described is actually misrepresented, and even if this "logic" were sound, his old filings would not serve its needs. Mr. Hendrickson's previous filings all contained disclaimers denying that any payments to him qualified as "income." These older returns simply pre-dated his understanding that "wages" itself is a custom-defined term referring to a subclass of such "income," and needing to be independently and directly disclaimed.
Thus, the panel's ruling concerning "willfulness" lacks a valid foundation. No direct evidence of "willfulness" was presented, and even if the government's "circumstantial evidence" logic was sound, it would be unavailing in this case.
It is worth observing that the government avoided its opportunity to try to make its fallacious "past practices" argument legitimately, in trial. It could have asked Mr. Hendrickson about his previous filings while he was on the stand, testing its "implications" argument against an explanation. Instead, it simply had the old returns introduced without explanation by a "record-keeper" and published to the jury as part of a foot-thick stack of other unexplained documents.
The presentation of those returns was not part of a good-faith effort to make a case for "willfulness" for the benefit of a rational juror. Rather, it was the slipping of something into the record which could later be called upon to rationalize a juror's confused conclusions.
There having actually been no evidence proving "willfulness" presented in trial, the panel's ruling is in conflict with its own precedents, such as in U.S. v. Kratt, 579 F.3d 558 (2009); and the Supreme Court's, as in U.S. v. Gaudin, 515 U.S. 506 (1995).
F. The Panel Overlooked Mr. Hendrickson's Argument That He Is Not A Statutorily-Defined "Person" Relevant To The Charges
Since the panel, even if simply by oversight, tolerated the government's failure to prove Mr. Hendrickson qualified as a §7343 "person" relevant to the charges, the ruling conflicts with 6 th Circuit precedent in U.S. v. Kratt, 579 F.3d 558 (2009)and with the Supreme Court in U.S. v. Gaudin, 515 U.S. 506 (1995).
CONCLUSION
It is clear that the ruling on "materiality" is in irreconcilable conflict with this Court's own well-settled precedents as well as those of the Supreme Court and other circuits. The same is true of the rulings on the confrontation issue, the jury instruction issue, and the failure of the government to prove other elements of the offense.
If space permitted, Mr. Hendrickson could identify many other issues in the appeal misapprehended in the ruling. But what has been presented above is more than sufficient to make clear that an en banc re-hearing of this appeal is not only warranted in the interest of justice but is needed to correct what otherwise will be exceptionally significant conflicts within the federal courts.
Thus, Mr. Hendrickson respectfully requests this Honorable Court to re-hear this appeal en banc so as to produce a ruling on the case in harmony with its own precedent, with the other courts and with the law of the land.
Respectfully submitted this 22 nd day of February, 2012.
__________________________________
Peter Eric Hendrickson proceeding
in propria persona
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MILITARY RESISTANCE GUARD ISSUE:
[10B7]
IF PRINTED OUT, THIS NEWSLETTER IS YOUR PERSONAL PROPERTY AND CANNOT LEGALLY BE CONFISCATED FROM YOU. "POSSESSION OF UNAUTHORIZED MATERIAL MAY NOT BE PROHIBITED." DOD DIRECTIVE 1325.6 SECTION 220.127.116.11.
American And Other Foreign Troops "Are Being Killed In Increasing Numbers" By Afghan Soldiers:
"Deep-Seated Animosity Between The Supposedly Allied Forces"
"The Sense Of Hatred Is Growing Rapidly"
The Americans "Voiced Suspicions About The Afghans Being In League With The Taliban, A Problem Well Documented Among The Afghan Police"
[Thanks to Sandy Kelson, Veteran & Military Resistance Organization, who sent this in.] "Lethal altercations are clearly not rare or isolated; they reflect a rapidly growing systemic homicide threat (a magnitude of which may be unprecedented between 'allies' in modern military history)," it said.
Official NATO pronouncements to the contrary "seem disingenuous, if not profoundly intellectually dishonest," said the report, and it played down the role of Taliban infiltrators in the killings.
20 January 2012 by: Matthew Rosenberg, The New York Times News Service Report; The New York Times [Excerpts]
Kabul - American and other coalition forces here are being killed in increasing numbers by the very Afghan soldiers they fight alongside and train, in attacks motivated by deepseated animosity between the supposedly allied forces, according to American and Afghan officers and a classified coalition report.
A decade into the war in Afghanistan, the report makes clear that these killings have become the most visible symptom of a far deeper ailment plaguing the war effort: the contempt each side holds for the other, never mind the Taliban.
The ill will and mistrust run deep among civilians and militaries on both sides, raising questions about what future role the United States and its allies can expect to play in Afghanistan.
Underscoring the danger, a gunman in an Afghan Army uniform killed four French service members and wounded several others on Friday, according to an Afghan police official in Kapisa Province in eastern Afghanistan, prompting the French president to suspend his country's operations here.
The violence, and the failure by coalition commanders to address it, casts a harsh spotlight on the shortcomings of American efforts to build a functional Afghan Army, a pillar of the Obama administration's strategy for extricating the United States from the war in Afghanistan, said the officers and experts who helped shape the strategy.
One instance of the general level of antipathy in the war exploded into uncomfortable view last week when video emerged of American Marines urinating on dead Taliban fighters. Although American commanders quickly took action and condemned the act, chat-room and Facebook posts by Marines and their supporters were full of praise for the desecration.
But the most troubling fallout has been the mounting number of Westerners killed by their Afghan allies, events that have been routinely dismissed by American and NATO officials as isolated episodes that are the work of disturbed individual soldiers or Taliban infiltrators, and not indicative of a larger pattern.
The unusually blunt report, which was prepared for a subordinate American command in eastern Afghanistan, takes a decidedly different view.
The Wall Street Journal reported on details of the investigation last year. A copy was obtained by The New York Times.
"Lethal altercations are clearly not rare or isolated; they reflect a rapidly growing systemic homicide threat (a magnitude of which may be unprecedented between 'allies' in modern military history)," it said.
Official NATO pronouncements to the contrary "seem disingenuous, if not profoundly intellectually dishonest," said the report, and it played down the role of Taliban infiltrators in the killings.
The coalition [translation: U.S. military command in Afghanistan] refused to comment on the classified report.
But "incidents in the recent past where Afghan soldiers have wounded or killed I.S.A.F. members are isolated cases and are not occurring on a routine basis," said Lt. Col. Jimmie E. Cummings Jr. of the U.S. Army, a spokesman for the American-led International Security Assistance Force. "We train and are partnered with Afghan personnel every day and we are not seeing any issues or concerns with our relationships."
The numbers appear to tell a different story.
Although NATO does not release a complete tally of its forces' deaths at the hands of Afghan soldiers and the police, the classified report and coalition news releases indicate that Afghan forces have attacked American and allied service members nearly three dozen times since 2007.
Two members of the French Foreign Legion and one American soldier were killed in separate episodes in the past month, according to statements by NATO.
The classified report found that between May 2007 and May 2011, when it was completed, at least 58 Western service members were killed in 26 separate attacks by Afghan soldiers and the police nationwide. Most of those attacks have occurred since October 2009.
This toll represented 6 percent of all hostile coalition deaths during that period, the report said.
"The sense of hatred is growing rapidly," said an Afghan Army colonel. He described his troops as "thieves, liars and drug addicts," but also said that the Americans were "rude, arrogant bullies who use foul language."
Senior commanders largely manage to keep their feelings in check, said the officer, who asked not to be named so he could speak openly.
But the officer said, "I am afraid it will turn into a major problem in the near future in the lower ranks of both armies."
There have been successes, especially among the elite Afghan commandos and coalition Special Operations forces, most of whom have undergone in-depth cultural training and speak at least some Dari and Pashto, the two main languages spoken in Afghanistan.
But, as highlighted by the classified report, familiarity in most cases appears to have mainly bred contempt — and that, in turn, has undercut the benefits of pairing up the forces.
The problem has also featured in classified reports tracking progress in the war effort, most of which are far more negative than the public declarations of progress, said an American officer, who asked not to be identified because he was discussing secret information.
The United States soldier was killed this month when an Afghan soldier opened fire on Americans playing volleyball at a base in the southern province of Zabul. The assailant was quickly gunned down. The deadliest single incident came last April when an Afghan Air Force colonel, Ahmed Gul, killed eight unsuspecting American officers and a contractor with shots to the head inside their headquarters.
He then killed himself after writing "God in your name" and "God is one" in blood on the walls of the base, according to an Air Force investigation of the incident released this week.
In a 436-page report, the Air Force investigators said the initial coalition explanation for the attack — stress brought on by financial problems — was only a small part of Colonel Gul's motivation.
His primary motive was hatred of the United States, and he planned the attack to kill as many Americans as possible, the investigators said.
There have been no reported instances of Americans' killing Afghan soldiers, although a rogue group of United States soldiers killed three Afghan civilians for sport in 2010. Yet there is ample evidence of American disregard for Afghans. After the urination video circulated, a number of those who had served in Afghanistan took to Facebook and other Web sites to cheer on their compatriots, describing Afghans of all stripes in harsh terms.
Many messages were posted on public forums, others in private message strings.
One private exchange was provided to The Times by a participant in the conversation; the names of those posting matched those on record as having served in the Marine Corps. In that conversation, a former Marine said he thought the video was "pretty awesome." Another said he hoped it would happen more often.
The 70-page classified coalition report, titled "A Crisis of Trust and Cultural Incompatibility," goes far beyond anecdotes.
It was conducted by a behavioral scientist who surveyed 613 Afghan soldiers and police officers, 215 American soldiers and 30 Afghan interpreters who worked for the Americans.
While the report focused on three areas of eastern Afghanistan, many of the Afghan soldiers interviewed had served elsewhere in Afghanistan and the author believed that they constituted a sample representative of the entire country.
"There are pervasive feelings of animosity and distrust A.N.S.F. personnel have towards U.S. forces," the report said, using military's abbreviation for Afghan security forces. The list of Afghan complaints against the Americans ran the gamut from the killing of civilians to urinating in public and cursing.
"U.S. soldiers don't listen, they are too arrogant," said one of the Afghan soldiers surveyed, according to the report.
"They get upset due to their casualties, so they take it out on civilians during their searches," said another.
The Americans were equally as scathing.
"U.S. soldiers' perceptions of A.N.A. members were extremely negative across categories," the report found, using the initials for the Afghan National Army.
Those categories included "trustworthiness on patrol," "honesty and integrity," and "drug abuse."
The Americans also voiced suspicions about the Afghans being in league with the Taliban, a problem well documented among the Afghan police.
"They are stoned all the time; some even while on patrol with us," one soldier was quoted as saying. Another said, "They are pretty much gutless in combat; we do most of the fighting."
Wisconsin National Guards Still Cheated Out Of Combat Pay Years Later:
"And It's Not Just Wisconsin Soldiers. There Are Soldiers Throughout The Nation Who Have Not Received Their Benefits" "Military Records Has Acknowledged He Earned The Days But Says He Can Use Them Only For Future Military Deployments"
"Trouble Is He Retired From The Guard In 2009. There Won't Be Any Future Deployments"
Jan 29, 2012 By Patricia Wolff - The (Oshkosh, Wis.) Northwestern [Excerpts]
OSHKOSH, Wis. — Members of the Wisconsin National Guard 1157th Transportation Co. spent much of 2006 and 2007 on duty in Iraq carefully planning and executing nighttime fuel transports and securing the perimeter of their large base.
It was work fraught with the danger of roadside bombs and sniper fire. The convoys became routine over time, but the soldiers never let their guard down.
"You were always on edge watching for what was waiting around the next corner," said Richard Vander Sande, one of the roughly 170 guardsmen in the unit.
The soldiers were in Iraq for just less than a year.
When they returned they were due extra pay or leave days for serving multiple deployments, but due to a glitch in the way the Army computed and dispersed those benefits, some of the soldiers never received them.
Soldiers accrue 30 leave days per year but obviously while deployed they are unable to use them. They can take them once they come home or they can be paid $200 for each day of leave not taken.
The error regarding Post Deployment Mobilization Respite Absence payments was discovered in February 2010.
Some 78 Wisconsin National Guard soldiers in the 1157th are affected, said Lt. Col. Jackie Guthrie of the National Guard.
About half are currently in the military and half are out.
Vander Sande was paid for 14 days when he had 41 coming to him. He failed to receive pay for 27 days of leave he was never able to take because he retired from the National Guard after the Iraq deployment and resumed his work as a police officer. He works for Plymouth police as a patrol lieutenant. His wife works in the cafeteria at the local public school. The Vander Sandes have a 13- year-old child.
Based on the $200 per day rate, Vander Sande, 42, is owed $5,400. If he ever sees the money he'll use it to take a vacation with his family in Hawaii, he said.
"It's frustrating. For some it's the issue of the money. For some it's the principle. If soldiers are owed something, they should be paid," Vander Sande said.
"It's annoying to have to go through this struggle."
Guthrie agreed.
"This needs to be corrected. These soldiers did what was asked of them," she said. "And it's not just Wisconsin soldiers. There are soldiers throughout the nation who have not received their benefits."
William Butzlaff, 31, is owed pay for 22 days. If he ever sees the $4,400, he'll use it to pay some bills. Butzlaff loves his job as a technician at Oshkosh Corp., but he doesn't expect to get rich there. The back pay from the Army would make a difference to him.
"It would definitely help," Butzlaff said as he relaxed in his Oshkosh apartment after work.
His apartment, though clean and comfortable, is not plush. He drives a 10-year-old car and has pretty simple tastes.
He has served 14 years in the guard and expects to deploy to Kuwait in less than three weeks where he'll serve in a security mission providing base and convoy protection as equipment returns to the U.S. after the Iraq war.
He'll also accrue more leave days.
The most frustrating part for Butzlaff is the confusion. He's received several official letters since 2010 telling him he will get his pay. But, still, he has seen no trace of it.
"I would not be shocked if I never saw that money," he said.
Vander Sande has been working for a year and a half contacting National Guard officials, active Army officials and elected representatives in an effort to make the situation right.
The Defense Department established the PDMRA program by law in January 2007 to provide the benefits to service members deployed beyond established rotation cycles.
To qualify, members must have been deployed to Iraq, Afghanistan or as a part of a certain unit in Kuwait, Qatar, United Arab Emirates or Kyrgyzstan with a departure date from the area of responsibility on or after Jan. 19, 2007.
However, the delay between the announcement of the program by DoD and the implementation of the program by the individual services prevented troops from receiving the respite leave benefits they earned.
"It was passed, authorized by law in January of 2007 but the wheels grind exceedingly fine. It was not implemented until August of 2007," Petri said.
The soldiers in the 1157th returned from Iraq at the end of August 2007.
After returning from Iraq members of the 1157th went through demobilization at Camp Atterbury, Ind.
They received PDMRA days added to their leaves but because of the new implementation of the program, those days were calculated incorrectly for many soldiers, resulting in shorting many of them thousands of dollars each, Vander Sande said.
Because they were unfamiliar with the program they didn't learn of the error until years later.
Butzlaff said he still doesn't understand what went wrong and why he has not received his pay, despite promises from the Army that it is on its way.
He is perplexed that some of his fellow soldiers have been paid while others have not.
In November Sen. Herb Kohl, D-Wis., offered an amendment to the annual Defense Authorization bill that would have granted soldiers the $200 per leave day they were denied due to a government error. However, his amendment didn't make it out of the Senate Armed Services Committee.
It was approved by Democrats as part of a group of items that are usually not in dispute and are passed by unanimous consent, but not by committee Republicans because one committee member objected, according to a Milwaukee Journal Sentinel story.
The bottom line, according to Vander Sande, is that he and the other soldiers are entitled to the benefits of leave which the Army did not allow them to take due to the Army's error.
Their PDMRA benefits were miscalculated at Atterbury. "No one chose not to take all earned PDMRA days; it was miscalculated," he said.
The National Guard Bureau directed the Wisconsin Army National Guard to submit payments for those not covered in what has been termed the shadow area between January and August of 2007.
What is more frustrating to Vander Sande is that the Army Board of Correction of Military Records has acknowledged he earned the days but says he can use them only for future military deployments.
Trouble is he retired from the Guard in 2009. There won't be any future deployments.
Military channels have failed to resolve the issue, so now Vander Sande is relying on lawmakers to step in.
The Military Killed My Son With A Prescription Pad: "Money Talks. I Truly Believe AstraZeneca And Other Big Pharma Companies Have Control Over Congress"
01/28/2012 By John Lasker - The Daily Caller
A father who has lost two sons to war told The Daily Caller that the U.S. Central Command's policy of allowing troops to deploy with a 180-day supply of the antipsychotic Seroquel has contributed to the deaths of troops and veterans.
Seroquel, he said, has tragic side effects that military leaders have ignored in their quest to combat insomnia and post-traumatic stress disorder (PTSD) among fighting men and women.
The father, West Virginia school principal Stan White, said there are better ways to treat troops and veterans who suffer from PTSD.
But because the maker of Seroquel, London-based AstraZeneca, has so much influence over Congress and the military, he insisted, that peer counseling and other treatment options are being shoved aside in favor of low doses of the drug.
White's suspicions are slowly being validated by a series of studies, legal settlements, and military rulings — including a recommendation from the Department of Defense's own advisory body on pharmaceuticals.
"I think AstraZeneca is so strong and has so much power that no one can speak out," said White, who has remained stoic despite his losses.
"Money talks. I truly believe AstraZeneca and other big pharma companies have control over Congress."
His first son, Army Sgt. Robert White, died in combat in Iraq. When Robert's younger brother Andrew returned from his own tour in the Middle Eastern country, a Veterans Administration doctor prescribed a combination of Seroquel and antidepressants for his PTSD.
Andrew died at home, and the state of West Virginia ruled that an accidental medication overdose was to blame.
But his father believes the "dangerous" pill cocktail killed him. And he told TheDC that he has identified 300 other soldiers and veterans who died from sudden cardiac arrest while taking Seroquel and antidepressants in combination.
Evidence supporting his theory has continued to accumulate, including a September 2011 study from the European Society of Cardiology which linked the "combined use of antipsychotic and antidepressant drugs" with an increased risk of sudden heart attacks.
Seroquel has been on the market since 1997, and in that time doctors have widely experimented with prescribing it for "off-label" purposes that the FDA has not approved.
The drug, a mood stabilizer, is approved to treat schizophrenia and bipolar disorder, but it has also been used to treat insomnia in Parkinson's disease patients, dementia in adults of all ages, and a variety of disorders in children.
Doctors have free rein to prescribe medications for off-label uses, and the FDA's evergrowing avalanche of advisories sometimes makes it difficult for physicians to know what has been approved and what has not.
A 2009 University of Chicago national survey of physicians, for instance, found that one in eight doctors thought Seroquel was approved for treating dementia, even though the FDA had issued a specific warning against it.
Drug marketers, however, are forbidden to promote their products for any purpose not approved by the FDA.
In April 2010 AstraZeneca conceded that it had crossed that line, agreeing to pay the U.S. government $520 million to settle claims related to its illegal promotion of Seroquel for off-label uses.
"At a time like this, scorching irony, not convincing argument, is needed. Oh had I the ability, and could reach the nation's ear, I would, pour out a fiery stream of biting ridicule, blasting reproach, withering sarcasm, and stern rebuke.
"For it is not light that is needed, but fire; it is not the gentle shower, but thunder.
"We need the storm, the whirlwind, and the earthquake."
Frederick Douglas, 1852
Troops Invited:
Comments, arguments, articles, and letters from service men and women, and veterans, are especially welcome. Write to Box 126, 2576 Broadway, New York, N.Y. 10025-5657 or send email [email protected]: Name, I.D., withheld unless you request publication.
POLITICIANS CAN'T BE COUNTED ON TO HALT THE BLOODSHED
THE TROOPS HAVE THE POWER TO STOP THE WARS
DO YOU HAVE A FRIEND OR RELATIVE IN THE MILITARY?
U.S. soldier in Beijia village Iraq, Feb. 4, 2008. (AP Photo/Maya Alleruzzo)
Forward Military Resistance along, or send us the email address if you wish and we'll send it regularly with your best wishes. Whether in Afghanistan or at a base in the USA, this is extra important for your service friend, too often cut off from access to encouraging news of growing resistance to the war, inside the armed services and at home. Send email requests to address up top or write to: Military Resistance, Box 126, 2576 Broadway, New York, N.Y. 10025-5657.
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A - STATES AND ORGANIZATIONS
1 - STATES AND STATES ARTIES
Every state acknowledged as such by the community of nations (about 160) can become a party to the 1982 Convention by ratification or accession. (Art. 306-307) Instruments of ratification or accession must be deposited with the Secretary-General of the United Nations, who is the depository of the Convention. (Art. 319, Para. 1) Once the Convention has entered into force, a state becomes a State Party (Art. 1, Subpara. 2(1)) and internationally bound with respect to other States Parties on the thirtieth day following the deposit of its instrument of ratification or accession. (Art. 308, Para. 2) States which deposit their instruments of ratification or accession before the entry into force of the Convention become State Parties and contractually bound to other States (Parties) twelve months after the date of deposit of the sixtieth instrument of ratification or accession, as this is the point in time at which the Convention enters into force. (Art. 308, Para. 1)
The Convention mentions "States" alone, e.g., "States shall...", but also generalized ("All States", "Every State", "State Party") and specified ("Coastal State", "Flag State", "Archipelagic State", "Developing State", and so on). But in spite of this variety of expressions, the Convention speaks to and means only States Parties, i.e., states which have consented to be bound by the Convention (Art. 1, Subpara. 2(1)) until there is a formal denunciation. (Art. 307) Applicable law of the sea between states party to the Convention and states which are not party to the Convention must be determined according to legal sources other than the 1982 Convention.
2. COASTAL STATES
Coastal states have one of the most significant positions in the 1982 Convention. That should come as no surprise as they not only make up three-quarters of the community of nations (about 120 of 160 states), but also have an overwhelming share (over 90%) of world industry, world trade, and world population. The naval forces of the world are exclusively in the hands of the coastal states. Then, too, there is tradition: coastal states have historically had sole influence in matters of the sea.
Whereas the coastal states' interests five decades ago had been reduced to little more than questions concerning foreign vessels in a territorial sea with a breadth of three nautical miles and sometimes, on a small scale, matters related to fishing, the picture today has changed considerably. The coastal states have become the "owners" of about 70% of the known nonliving and 90% of the known living resources of the oceans; in addition, they have been vested with more administrative power with respect to prevention and control of pollution (Art. 56; Part XII) and marine scientific research. (Art. 56; Part XIII)
The fact that such a large part of the ocean's riches is now in the hands of the coastal states is the result of a zone system established by the Convention (Part II-Part VI) The extension of administrative power is related to protection and security interests of coastal states. As far as pollution is concerned, it is only necessary to call to mind the disastrous tanker accidents which have occurred since the 1950's.
The 1982 Convention provides the necessary framework for the coastal states' rights and obligations as well as the limits thereof for the protection of other states' interests. Other states' interests can be summarized as follows:
(a) Coastal states have to exercise their powers with respect to pollution and marine scientific research in a manner which protects and develops the use of the oceans (Art. 192; Art. 239; Art. 246) and which is conducted with due regard to the rights and duties of other states; (Art. 56, Para. 2)
(b) The deep-sea Area is reserved for mankind as a whole; (Art. 136-137)
(c) The high seas (Part VII) or any part thereof cannot in general be subject to the sovereignty of any state; (Art. 89)
(d) The regime of navigation, which is sub-divided into
(aa) navigation in the territorial sea,
(bb) navigation in the exclusive economic zone, with the further subdivision of navigation in the contiguous zone, and
(cc) freedom of navigation on the high seas, can be exercised on an equal nondiscriminatory basis (Art. 24-26; Art. 42; Art. 52; Art. 227) around the globe. (Part II-VII)
Almost every Part or section of the Convention has a direct or indirect impact or reference to the position of coastal states (See e.g. Art. 116, Subpara. (b); Art. 142), many of them ensuring that coastal states do not extend their interests beyond the limits laid down by the Convention.
3. PORT STATES
The Convention, which has no jurisdiction over the internal waters and ports of a coastal state, refers to "Port State" only once with respect to certain investigative and procedural powers in pollution cases and, most significantly, for cases of discharge from vessels on the high seas (Art. 218; Para. 1.) or, at the request of the flag state or the state affected by the violation, in the zones of other states. (Art. 218, Para. 2) The term Port State is derived from the fact that a state can institute investigations of such matters which have occurred outside its own internal waters, territorial sea, or exclusive economic zone only when the vessel is voluntarily within a port of that state.
The Convention does not define what is meant by discharge, but in conducting an investigation a port state has to apply international rules; such an applicable rule might be the definition of the Convention for the Prevention of Pollution from Ships 1973 (MARPOL), which establishes that:
'Discharge' in relation to harmful substances or effluents containing such substances, means any release, however caused, from a ship and includes any escape, disposal, spilling, leaking, pumping, emitting, or emptying. (Three exceptions are not given here.)
This delegation of power to all states, regardless of whether they have been affected by such discharge, is significant in light of the exclusive jurisdiction of the flag state on the high seas, (Art. 92) even if such investigations might be suspended at the request of the flag state (Art. 228) or of the state within whose zones the violation occurred. This establishes the principle that other states may take action against vessels polluting the oceans in spite of the reluctance or hesitation of the flag state. This global investigative machinery may have a great influence on the further evolution of the law of the sea.
4. FLAG STATES
A flag state is a state which grants vessels using international waters, regardless of type and purpose, the right to fly its flag (Art. 91, Para. 1) and, in so doing, gives the ships its nationality. (Art. 91, Para. 1) This right is to be documented by the flag state. (Art. 91, Para. 2) The term "flag state" is generally used in conjunction with non-official vessels (merchant, fishing, etc.), but it is also used for warships and other official vessels e.g., (Art. 31; 95) and in reference to installations, structures, or other devices, e.g., (Art. 209, Para. 2) and would also apply to ships employed by the United Nations, related organizations, (Art. 93) or other entities. (Art. 1, Subpara. 2(2); Annex IX, Art. 1)
The interest of flag states in exercising their right of navigation (Art. 90) has always been quick to conflict with the interests of the coastal states. Whereas the former want their vessels to be able to sail the seas with the greatest freedom and the least interference possible, the latter
)
seek the greatest possible legislative and enforcement power in order to further their national interests in the waters near the coast. Until recently, the flag state's freedom of navigation took priority over all of the ocean surface except for a small section close to the coastal state's coastline; under the 1982 Convention, however, the situation has changed. The flag state's position is affected most by three regimes of passage ("innocent passage" (Art. 17-32) through the territorial sea, "transit passage" (Art. 37-44) through straits, and "archipelagic sea lane passage" (Art. 53-54) through archipelagic waters) and regulations for the prevention of pollution. (Part XII, Sec. 5-7) Nonetheless, there is no change of the flag state's principal responsibility for and jurisdiction over vessels of its nationality. The provisions governing the topics mentioned above exemplify various attempts to strike a balance between opposing interests, e.g., (Art. 24, 27, 41; Part XII, Sec. 7).
5. REGISTER STATE
The Convention uses the term "State of Registry" in regard to, among other things, installations used for unauthorized broadcasting from the high seas, (Art. 109, Para, 3) aircraft, (Art. 212, 216, 222) marine scientific research installations, (Art. 262) or other structures and devices. (Art. 209, Para. 2) With the exception of a few pollution regulations, e.g., (Art. 212, Para. 1; Art. 222) the Convention uses the terms "flag state" or "flying a state's flag" when referring to vessels, although the flag state is always to register the vessel, (Art. 91; Art. 94, Subpara. 2(a)i) and is consequently also a State of Registry. For the purposes of this Convention, "Flag State" and "Register State" are therefore the same.
As the Convention requires that all states fix conditions for the registration of ships in their territory, (Art. 91, Para. 1; Art. 94, Subpara. 2(a)) a United Nations conference held under the auspices of the United Nation Conference on Trade and Development (UNCTAD) adopted in 1986 a convention on conditions for registration of ships. One of the aims of this registration convention is of a political and economic nature and related to the topic of "flag of convenience".
6. FLAG OF CONVENIENCE STATE
The term "flag of convenience" refers to a state which registers foreign-owned vessels, granting the vessel its nationality and the right to fly its flag, giving the vessel the benefit of registration fees, annual fees, and taxes which are considerably less than in other states. In addition to the detrimental effect on fee scales, such registrations can have negative results in terms of social benefits and wages of the crew and the safety standards of the vessel. About 30% of the world merchant shipping tonnage navigates under three to four flags of convenience such as Liberia, Panama, and Cyprus. This situation has long been unacceptable for many developing countries, who believe that it hinders them in their efforts to build up their own merchant fleets, and has been criticized by seamen's trade unions in industrialized countries. The Convention attempts to require a "genuine link" between the register state and the vessel, (Art. 91, Para. 1) but does not go into detail. However, the Convention does permit a ship sailing under two or more flags according to convenience to be assimilated to a ship without nationality, (Art. 92, Para. 2) depriving such a vessel of the protection of any state. (Art. 92, Para. 1; Art. 110, Subpara. 1(d)) The meaning of a "genuine link" is described by the UN Convention on Conditions for Registration of Ships, 1986, which requires participation of nationals of the flag (register) state in ownership, manning, and management of the vessel. The register state may choose between "manning" and "ownership", but at least one of these conditions must be met.
)
7. ARCHIPELAGIC STATES
An archipelago is a "group of islands" which in some way forms an intrinsic unit. (Art. 46, Subpara. (b)) As early as the 1930's, questions about the treatment of groups of islands arose in conjunction with discussions of the territorial sea concept, but this had more to do with the inclusion of coastal islands than the status of a mid-ocean group of islands. The discussion focused on the problem of where the baseline dividing the internal waters from the territorial sea should be drawn. The 1958 and 1960 Conferences on the Law of the Sea did not recognize midocean archipelagos, although the states concerned were even then seeking a specific solution. A global solution could be found only after an economic zone of two hundred nautical miles had been accepted. The two leading proponents of a concept of a mid-ocean archipelago, Indonesia and the Philippines, then received the-solution they had long urged. During the early stages of the 1973-1982 Conference, the Indonesian foreign minister declared:
"Indonesia has always considered its land, water, and people to be inseparably linked to each other; the survival of the Indonesian nation depended on the unity of these three elements".
Indonesia in 1957 and the Philippines in 1961 had passed laws declaring the waters between the islands to be inland waters.
The Convention has now created a new legal concept (Part IV) which is based on two principal elements: the unity doctrine of archipelagic states (Art. 49) and the concept of archipelagic sea lane passage through the archipelagic waters. (Art. 53-54)
The following countries already apply (or might be interested in applying) the archipelago concept: Indonesia, Philippines, Tonga, Fiji, Mauritius, Bahamas, Papua New Guinea, Madagascar, West Samoa, Maldives, and Micronesia (non-exclusive list).
8. GEOGRAPHICALLY DISADVANTAGED STATES
Geographically disadvantaged states are those states which have direct access to the sea, but which because of geography (e.g., a relatively short coastline) feel that they are at a disadvantage in comparison with other states. In the context of fishing rights in the exclusive economic zone, the Convention defines "geographically disadvantaged states" as coastal states, including states bordering enclosed or semi-enclosed seas, whose geographical situation makes them dependent upon other coastal states (which are not disadvantaged) in the subregion or region, and coastal states which can claim no exclusive economic zone of their own. (Art. 70, Para. 2) Prior to the Conference and during the Conference itself, these states worked together closely with the land-locked states, as they were annoyed by the blunt manner in which the nondisadvantaged coastal states (a group of about eighty states) pushed for an exclusive economic zone with a limit of two hundred nautical miles. In spite of this, they found themselves in a weak position in the Convention. To be sure, they have the right to participate on an equitable basis with the coastal state of the same region or subregion in the exploitation of an appropriate part of the surplus of the living resources. (Art. 70, Para. 1) But this right is only very rarely enforceable. (Art. 70, Para. 5; Art. 71; Art. 297, Para. 3) Geographically disadvantaged states are also to be given the opportunity to participate in proposed marine scientific research projects of coastal states. (Art. 254) For all practical purposes, the geographically disadvantaged states were unable to achieve any more. The situation does improve slightly if the state is also a developing country, e.g., (Art. 70, Para. 4; Art. 148; Art. 269, Subpara. (a))
At the time of the 1973-1982 Conference, the following states considered themselves to be geographically disadvantaged (list not necessarily complete):
Africa:
Algeria, Ethiopia, Gambia, Egypt, Sudan, United Republic of Cameroon, Zaire
America:
Jamaica
Asia:
Singapore
Europe:
Belgium, Bulgaria, Finland, German Democratic Republic, Greece,
Federal Republic of Germany, Netherlands, Poland, Romania,
Sweden, Turkey
Middle East:
Bahrain, Iraq, Jordan, Kuwait, Qatar, Syria, United Arab Emirates
9. LAND-LOCKED STATES
There are about thirty land-.locked states, which means that roughly one-fifth of the members of the community of nations have no direct access to the sea, or, as defined by the Convention, are states which have no sea-coast. (Art. 124, Subpara. 1(a)) Although this number is high, the actual impact of these states on global economic and population figures is rather slight. But this basic disadvantage forces them to find reasonable and reliable access to regional or global communication and transport systems on the basis of established international law. The first efforts on the part of these states to carve out a niche for themselves in this respect (other than certain bilateral agreements) were made at the Barcelona Conference of 1921, later at a United Nations Conference on Trade and Employment, in Havana in 1948, then at various conferences, including the 1958 Conference on the Law of the Sea, which adopted the first small step for establishing a global legal framework for transit. (1958 Convention on the High Seas, Art. 3)
When as a result of the Ambassador Arvid Pardo proposal in 1967 the Sea-Bed Committee was instructed to discuss the future of the sea-bed, the land-locked states were anxious to place their problems on the agenda as well. In 1970, the UN General Assembly instructed the Secretary-General to prepare a study on the question of free access to the sea of land-locked countries, with a report on the special problems of land-locked countries relating to the exploration and exploitation of the resources of the sea-bed and the ocean floor.
As far as the sea-bed is concerned, the land-locked states did not get preferential access to sea mining, not even in the Area. (See Art. 141; Art. 148, 152, and 160, Subpara. 2(k) apply only to developing countries) The right of participation in coastal states fisheries (Art. 69) is weak, (Art. 69, Para. 3; Art. 71) and the right of transit Part X still depends to a considerable extent on the willingness of the transit state to co-operate; (Art. 125, Para. 2-3) nonetheless, the Convention includes some improvements compared to the period prior to 1982. Land-locked states may also participate in marine scientific research. (Art. 254)
The only guarantees for land-locked states found in the Convention are the right of navigation (Art. 90) or participation in the freedom of the high seas (Art. 86) and the right to equal treatment of their vessels in maritime ports. (Art. 131) The following is a list of landlocked states:
Africa:
Botswana, Burkina Faso, Burundi, Central African Republic, Chad,
Lesotho, Malawi, Mali, Niger, Rwanda, Swaziland, Uganda, Zambia, Zimbabwe
Asia:
Afghanistan, Bhutan, Laos, Mongolia, Nepal,
Europe:
Austria, Czechoslovakia, Hungary, Luxembourg, Switzerland
South America:
Bolivia, Paraguay
10. TRANSIT STATES
Transit state means a state, with or without a sea-coast, situated between a land-locked state and the sea, through whose territory traffic in transit passes. (Art. 124, Subpara. 1(b)) The Convention does not use the term in any other context than the right of access of land-locked states to and from the sea and freedom of transit. (Part X)
11. DEVELOPING STATES
Of the approximately 160 state members of the United Nations, more than 100 are developing states. The answer to the question of who is a developing state depends on the judgement of each state itself, on whether it feels comparable or competitive with or as developed as the industrialized or developed states. The Convention does not offer any help in this respect; it refers only to developing states in general, and, rarely, to developing geographically disadvantaged or land-locked states, e.g., (Art. 148; Art. 140; Art. 69, Para. 3; Art. 70, Para. 4) In December 1967, the United Nations General Assembly instructed its Secretary-General to study the interests and needs of developing states with respect to the deepsea area and the proposed Mining Authority, a consideration of preferential treatment which was made part of the 1970 Assembly Declaration of Principles governing the sea-bed. (Preamble)
The Convention provides numerous provisions designed to promote and support the growth of developing countries. Three broad themes intended for the benefit of developing states can be found in the Convention: co-operation (a), training (b), and preferential treatment (c).
(a) Although the Convention requires states in general to co-operate, (e.g., Preamble, Art. 118, 138, 197, 242, 270) it implies the need for particular care for and co-operation with developing countries. The most significant examples can be found in the provisions governing the Area, as they are applicable for all states, (e.g., Art. 140, Para. 1) and marine scientific research, whether conducted in the Area (Art. 143, Para. 3) or in general to strengthen the coastal state's own technological and research capabilities through development and transfer of marine technology. (Art. 266-278)
(b) In addition to the benefits of co-operation aimed at closing the technological gap, developing countries are to receive technical assistance to aid them in setting up programmes for the full and satisfactory protection of the marine environment. (Art. 202-203) Furthermore, adequate education and training of scientific and technical personnel is to be provided, (Art. 244, Para. 2) including the establishment of national and regional marine scientific and technological centres. (Art. 275-277)
(c) The most effective and supportive provisions for developing states might one day turn out to be those vesting the Sea-Bed Authority with powers and obligations for preferential treatment of developing states. These powers cover several aspects. In addition to support to be given by all states (and by the Sea-Bed Authority), (Art. 143, 148) the Authority is to acquire technology and training programmes from contractors operating in the Area (Art. 144, Subpara.
1(a); Annex III, Art. 5, Para. 3&15) and transfer it to developing countries. (Art. 144, Subpara. 1(b)) The Authority is to show preference to these countries when considering the use of revenues (Art. 150, Subpara. (f); Art. 82, Para. 4; Art. 160, Subpara. 2(f)) and pay compensation to those developing countries which suffer serious adverse effects on their export earnings as a result of the mineral policy of the Authority or of exploitation of minerals from the Area. (Art. 150, Subpara. (h); Art. 151, Para. 10; Art. 160, Subpara. 2(1)) A general clause of the Convention is open enough to allow further supportive measures for developing countries on the part of the Authority (Art. 148, Art. 274) as long as such measures can be covered by the term "activities in the Area". (Ibid; Art. 1, Subpara. 1(3))
Apart from these broad themes, developing countries which are land-locked, (Art. 124, Subpara. 1(a)), geographically disadvantaged, (Art. 70, Para. 2) or border enclosed or semienclosed seas (Art. 122; Art. 70, Para. 2) have only weak preferential access to fishing in exclusive economic zones of developed coastal states located in the same area. (Art. 69, Para. 3; Art. 70, Para. 4; Art. 71) But there is another, small supportive measure by the Convention which cannot be found directly in the text. Some provisions are a compromise between the "desirable standard" and the "obtainable standard", e.g., in the provision defining the flag state duties which requires only compliance with generally accepted regulations (Art. 94, Para. 5) or for pollution from land-based sources (taking into account), (Art. 207, Para. 4) so that developing states will not be overburdened with excessive investments for the time being.
12. UNITED NATIONS ORGANIZATION
The United Nations has been deeply involved in the development of the law of the sea since the organization's founding in the 1940's. It is doubtful that the community of nations would have reached the present standard of law governing the sea if there had not been a system of international organizations able and willing to act on the proposals of its members, such as that of the Malta delegate, Arvid Pardo, in 1967. One can also wonder whether an international conference such as the 1973-1982 Conference would have been held, much less succeeded, if it had not been for the United Nations and the support of its administrative machinery. The active participation of various United Nations organs or conferences in certain fields or their studies and recommendations will have had an impact on the drafting of the Convention. Particular mention should be made of the UNEP (United Nations Environmental Program) for its work on regional action plans, (Art. 197; in particular, Art. 123, Subpara. (b)) e.g., Kuwait Regional Convention for Co-operation on the Protection of the Marine Environment on Pollution 1978, and UNCTAD (United Nations Conference on Trade and Development) for its work concerning registration of ships and the "genuine link" (Art. 91; Art. 92, Para. 2) and the transfer of technology, e.g., (Art. 266)
The United Nations is in charge of conducting the administrative part of the Convention. One of its organs, the Secretary-General, is the depository of the Convention (Art. 319) and denunciations are to be addressed to him. (Art. 317) The Secretary-General is to communicate with the States Parties, the Authority, and competent international organizations (Art. 319) concerning all matters relevant to the Convention and is to take the necessary steps concerning amendments in due time and in accordance with the Convention. (Art. 312-314) The SecretaryGeneral is to be supplied with charts and lists which show limit lines or geographical coordinates drawn by coastal states. (Art. 16; Art. 47, Para. 9; Art. 75; Art. 76, Para. 9; Art. 84) The United Nations may employ vessels in its service, and these can fly the flag of the United Nations. (Art. 93)
)
13. OTHER INTERNATIONAL GOVERNMENTAL ORGANIZATIONS
The international governmental organizations can be divided into two groups. One group works on a global basis, as Organs of the United Nations or are related to it in some degree. The latter are basically independent, have constitutions of their own, and states become members only by means of a separate procedure for each organization. The other group is often established only for regional or specific purposes and is open only to certain countries, but such organizations can also have global character. Many such organizations attended the 1973-1982 Conference as observers. (See Appendix to Final Act) The importance of three organizations will be described below.
International Maritime Organization (IMO) This is by far the most important organization for all matters concerning vessels, and this fact can be seen quite clearly in the Convention. The most important regulations which can be traced backed to IMO conventions are those concerning the safety of ships, including manning, signal and radio communication, and qualification of crew, (Art. 94, Para, 3-4) search and rescue, (Art. 98, Para. 2) prevention of collisions (Art. 21, Para 4; Art. 39, Para. 2; Art. 94, Subpara. 3(c)) including traffic separation schemes (Art. 22; Art. 41; Art. 53) and the involvement of the organization in the implementation of such schemes, (Art. 22, Subpara. 3(a); Art. 41, Para. 4; Art. 53, Para. 9) documents and precautionary measures by nuclear-powered merchant vessels and vessels carrying dangerous cargo, (Art. 23) and last but not least prevention of pollution e.g., (Art. 211, Para. 2)
International Labour Organization (ILO) A large number of ILO conventions, which make up the International Seafarer's Code, are concerned with working conditions of seamen. The 1982 Convention honours these conventions by urging States Parties to take measures governing labour conditions which conform to generally accepted international regulations. (Art. 94, Subpara. 3(b), Para. 5)
United Nations Food and Agriculture Organization (FAO) This organization and its committees on fisheries influenced to a large extent the provisions on utilization and conservation of fish resources. (Art. 61-68; Art. 117-120)
14. CO-OPERATION - "COMPETENT ORGANIZATIONS"
The 1982 Convention contains numerous directives for co-operation between states, (e.g., Art. 123) between states and international organizations, (e.g.. Art. 199) and between international organizations, (e.g.. Art. 278) Apparently the co-operation required between states and international organizations will ultimately be of greatest importance for the effectiveness of the Convention, as this enhances the prospects of efficient enforcement of the Convention as well as unification and development of the law of the sea. Terms often used in this context include "States and competent international organizations shall...", (e.g., Art. 242, Para. 1) "States, in co-ordination with the competent international organization", (e.g., Art. 276, Para. 1) and "States, acting through the competent international organization". (e.g.. Art. 211, Para.1)
The competent international organizations for the various parts of the 1982 Convention are as follows (non-exhaustive list):
15. GOVERNMENTAL ORGANIZATIONS AS PARTIES TO THE CONVENTION
The Convention provides the opportunity for inter-governmental organizations to become "states parties" to the Convention. (Art. 305, Subpara. 1(f) (306-307); Annex IX, Art. 3) This possibility was implemented under pressure from the member states of the European Economic Community (EEC). This move came about as a result of the fact that EEC institutions have certain powers, such as the conclusion of treaties and the establishment of internal rules in fisheries and in certain pollution matters.
The prospect of sea-bed mining gives the so-called "EEC clause" an even more interesting feature. The status of an acceding organization will more likely be that of a principal and agent rather than of a "state party," as a state party remains a "state party to the Convention" regardless of how much competence in matters governed by the Convention (AIX, Art. 1) it might have transferred to the organization, although corresponding rights (e.g., voting) will be affected accordingly. The handling of the "EEC clause" might prove to be somewhat difficult. The European Economic Community was the only inter-governmental organization to sign the Convention.
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HUNTING THE CAVE-DWELLING TIGER OF CHINA
By J. C. GREW
photographs by the author
A LONG the coast of China, midway between Hongkong and Shanghai, there lies a tract of country quite devoid of any growth, where the barren hills which roll back from the sea to the rice-cultivated valleys inland are strewn with the gigantic boulders of some prehistoric glacial moraine, and it is in the numberless caves and subterranean passages formed by these great confused masses of rock that the sole wild occupant of the country, the Chinese tiger, finds his lair. Accordingly, the sport of tigershooting is here quite a different proposition from that in India and other tropical countries, where the methods of shooting are adapted to the jungle, viz.: from the backs of elephants, on foot on a jungle path, or from platforms in trees—by driving, beating or sitting up over a kill. Here in China the animal must be tracked to his cave, and if found in such a position that he cannot be driven out to the gun, he must be blocked in so that the sportsman can enter with comparative safety. Thus, whereas in India the excitement is generally over in a few seconds, in the cave shooting a sportsman is frequently kept at the highest tension for several hours, having located the game and while still uncertain as to whether it will charge out before being successfully blocked.
I had had my fill of the jungle. Rains; flies, and eventually fever, had convinced me that tiger-shooting in the tropics had its distinct disadvantages and had made me wish for a healthful country and a respectable atmosphere, where one could enjoy living and shooting at one and the same time—a paradox in the jungle. I was unwilling to return without a tiger— glowing tales were told of this cave district; here, then, was the very thing, and I started forthwith.
It was with the keenest anticipation that I finally found myself rolling down the coast of China on the little "Haitan." The old Scotch engineer told me stories, over our pipes and coffee in the evening, of lighthouse keepers along the shore
watching the tigers play at night on the walk into the tiger's den with only their beach below, and of natives carried away torches to scare him and their spears to from the rice fields within shouting disstop a charge. Their weapons, however, tance of their very villages, which made looked sufficiently business-like, for each me feel that at last I was in for some sport. So, though alone, except for my old Singcarried a sort of trident with three iron halese servant, Thomas, who had shared prongs and a heavy wooden shaft. They with me many adventures, I was not at all carried with them also in a small basket, an exact representation in miniature of loath the next morning to take my last themselves—a little Chinaman who held look at a white man, transfer self, goods and chattels to the care of a yellow pirate in his hand the typical trident, and in the sand which filled the basket about him, in a dilapidated junk, and set sail for the were burning joss sticks. shore. This, I disThat evening I found myself in a snug covered, was their idol, whom they worlittle village, tucked away at the foot of the shipped fervently and regularly, and never in our subsequent hunting were they withhills, with the flooded pâdi fields skirting out him, for, as they told me, it was he it on one side and to the west a pagoda who gave them the courage to hunt and crowned mountain, towering like a sentinel above—far too peaceful a scene to suggest strength to fight the tiger. My interpreter, the sport on which I had come. a young Chinaman named Lim Ek Hui, As the who proved invaluable in communicating guest of the village, in that I was to do my little best in ridding them of a pest, I was their instructions and a most interesting led up the central path through a staring companion in discussing things Chinese during the long, lonely evenings, then arand wondering crowd of peasants—who ranged between us the rate of wages, after were seldom privileged to gaze on a white which being decided satisfactorily, we man, and had no modesty about showing repaired to our respective suppers—I, to it—among innumerable black hogs, enthe great delight of the admiring throng joying continuous and undisturbed slumin the courtyard, to knife, fork and plate, ber along the highway, and past the rude they to their chow-bowls and chop-sticks. hovels, within which hens, babies and The ten Chinamen who were to share my dogs sprawled promiscuously. We came, temple then stretched themselves in at the end of the village, to a remarkable various positions about the floor, lit their looking building—a sort of large shed opium lamps and smoked themselves into with arched roof and paved floor, with one oblivion, the interior quickly becoming side opening to a courtyard flanked by a filled with the pungent and not unpleasant ten-foot wall, which, though ordinarily a odor of the drug. Thomas found a positemple sacred to the common ancestor of tion at the other end of the temple, as far the village, was now, I learned, to be my removed as possible from the Chinamen, habitation for as long as I cared to remain. It proved on inspection to be a very filthy while I repaired to my bale of straw, and having placed my loaded revolver under lodging; much debris had to be swept the pillow, more from habit than caution, from the floor, and several huge, black was quickly asleep amid these novel surspiders driven away before I could make roundings. up my mind that it was at all habitable. A pile of straw was then shaken down in a corner for a bed, and my dressing articles spread on the altar, after which the seven Chinese huntermen, who were to be my escort from now on, presented themselves.
They stood grinning in a row, their almond-shaped eyes slanting upwards, their yellow skins burnt to bronze from work in the rice fields and wrinkled like old parchment. With one exception they were under five feet—hardly the imposing individuals I had pictured, who were to
At dawn the courtyard was filled with the same admiring crowd of the night before—men, women and children—who watched the processes of bathing, dressing and eating breakfast much as we might observe the wild man of Borneo taking dinner at the dime museum. This was embarrassing and became, before many days, extremely irritating, though I was not in a position to resent. The huntermen had procured long, slender bamboo poles, and were winding strips of cloth about their tips, these latter being dipped in oil and serving as torches to light up the
interior of the caves which we explored. Then after chow, we started out in single file, I following the head hunterman, quite ignorant as to where or into what he would lead me.
the express, but in case of emergency invariably took another heavy gun when after dangerous game. This gun, which was a double 10-bore, I gave to Lim, loaded but uncocked, and stationing him behind me on a suitable rock a few yards from the cave opening, awaited results.
Probably few forms of sport afford greater excitement than that of watching the opening of a cave, knowing that at any second one or more tigers may charge out and aware that if they do, one must shoot both instantly and accurately. Under such circumstances an ordinary hole in the hillside becomes a distinctly fascinating object, as one who has had the experience must realize. But I was not to have success on this hunt nor, indeed, for many days to come, for the smoke of the torches appearing through the fissures in the rock and the sound of the spears feeling about near the exit, told that the men had passed through the passage. We explored several other caves before returning to the village, but to no purpose.
In the afternoon the men informed me that this wholesale exploration of caves was a poor thing, since, if a tiger should happen to come to one of them later, the smell of the torches would prevent his entering and he would doubtless move to some other part of the country. The animals are continually roaming about and may appear in a certain district at any
Knowing the lie of the land, they had no hesitation in choosing at once the most likely caves to explore; a tramp of some four miles brought us up into the rocky hills and here at last, with the openings of caves and passages all about us, I felt the first pleasant promptings of caution which come when one knows dangerous game may be near. The huntermen soon stopped above a cave which led directly down into the earth, while one of them led me a few yards down the hillside to station me at the mouth of another opening below, Lim translating that they were to move through the passage and drive the tiger, if he were there, down to the exit which I guarded. They quickly oiled their torches, shed their great umbrella hats, and dropped one by one out of sight into the hole.
Lim had had scruples about accompanying me on the hunt, but protests that he was indispensable and assurances of perfect safety had overruled them; he was necessary not only to interpret instructions but to hold my extra gun and pass it to me, should the two barrels of the .450 corditepowder express prove ineffectual. I had fair confidence in the stopping power of
time, so that there is nothing to do but wait. Accordingly in the evening I purchased from a shepherd six small goats and placed them around the country within 'a radius of a mile or so, mooring each before the opening of some promising cave, and as we returned to camp we could hear their cries coming apparently from all directions. Should a tiger arrive within reach of that sound we would certainly have something to work on.
The next week was a monotonous one. Each evening we moored the goats and each morning at sunrise brought them back untouched to the village; these were the only events of the long, hot days. Occasionally. I crossed the hills to the shore and had a swim, or a sail in some fisherman's junk, but most of my time was spent under a tree behind the village, where with a pillow, a pipe and a book, I did my best to make the days seem shorter.
The village life was that of the peaceful peasants of any country; at sunrise the men put on their great pagoda hats and trudged off to the rice-fields, where they worked knee-deep in water till dark. The women remained in their huts spinning, or chatted on the paths, while their babies made mud-pies and played with the hogs. Then at sunset, when the men returned from work, my courtyard became the gathering place for the evening, for the novelty of watching a white man eat, smoke and read, did not in any wise seem to pall upon them. The huntermen were next in importance and, always held an admiring circle about them as they squatted over their chow. This was a sort of soup, brewed in a big black kettle, into which any number of ingredients, from shellfish to sweet potatoes, had been thrown, and eaten with some kind of herb on the side as a relish. Tiger hunting is nothing new to them, as they make it their business, the profession being handed down in the same family from father to son. They attack the tiger in his cave, killing him with their spears, and selling the meat, bones, claws and skin at a high price, as the natives believe the possession of the claws or the eating of the meat gives them strength and bravery. The men are undoubtedly courageous as notwithstanding the fact that some of them are killed from time to time, they walk into the caves without hesitation, and many were the stories they told through my interpreter, over their opium pipes in the evenings, of adventures and hairbreadth escapes.
This village, as, do all the small towns of the district, regarded itself as one large family, being descended from the common ancestor to whose memory my temple was built, and so closely do they adhere to this idea, that intermarriage is forbidden and a man must choose his wife from elsewhere. They are a simple, trusting lot and have great faith in the medicinal powers of a white man. One morning a woman stalked into my temple on her diminutive feet and pulled me by the sleeve to. her house near by. Her husband was lying groaning on his straw bed and wooden pillow, having fallen out of a tree and evidently hurt his spine. It was clear that nothing more could be done than to ease the pain, so I ordered hot water applied and rubbed some salve on the injured spot. The next morning the woman returned and thanked me profusely, saying that the pain had ceased. Later I was called in to see a fever patient and gave him a few grains of quinine, for which he appeared in person to thank me the next morning, evidently quite restored to health, more by the mental than by any physical good done him.
These were the peaceful surroundings in which I found myself, and watched the days pass slowly by, until the first event occurred which told that game had arrived at last and roused all my energies to bring the hunt to a successful close as speedily as possible.
I was awakened at one or two o'clock in the morning by the loud barking of a dog, which was immediately taken up by all the other dogs in the village. This was unusual, as seldom anything disturbed the silence of the town at night, and I was wondering vaguely what could be the matter, when the men in the temple were all on their feet, some running for their spears, and others to get my gun out of its case. In a minute we were out in the village street in the moonlight, where the dogs were bolting up and down, barking furiously and evidently much disturbed at something; though the cause was not apparent. And just then I distinctly saw, off in the rice-fields, a shadowy form sneaking away—a dog, perhaps, or a pig, though it looked like something largerand though my first impulse was to follow, I saw at once that it was useless. The barking of the curs soon subsided and we returned to the temple.
In the morning great excitement prevailed in the courtyard; the whole village had apparently gathered there and were talking and gesticulating violently. Lim translated that a dog had been taken away in the night, and that a tiger was undoubtedly about. The huntermen had meanwhile gone out to inspect the goats, and returned with the news that one had vanished, the rope being parted clean and the animal completely disappeared without a sign of blood. I was on the spot immediately and found the report true, with no vestige of any track to work on. There was nothing to do. To smoke up the caves by exploring them was clearly unadvisable, so we returned to wait in patience till nightfall. The anticipation of sport near at hand, made that day seem endless. The morning blazed wearily till tiffin* time, and the afternoon hours dragged till evening. Then, finally, the sun sank and by seven o'clock I had the remaining four goats at their posts and, as nothing more could be done, prepared to sit up over the fifth, which was the loudest bleater, in the hopes that the tiger would pick him out for his night's kill.
We found, some five yards from the goat, a suitable rock, which shaded us from the moonlight, and waited, the animal crying lustily and being answered continually by one of the others which was within call. The first hour or two of this sitting up was not had, but eventually one's eyes become strained from peering through the moonlight, and with the help of a sharpened imagination, picture a moving form in every rock and shadow; so before midnight I found myself involuntarily starting at every new shape on which my gaze fell. The goat had by this time quited down and the huntermen were fidgeting, so it seemed better to give it up, and silently and in single file we covered the three miles to the village.
But the discouragement of the evening was not to last. The men had gone out for the goats at sunrise, and I was awakened on their return by a tremendous clamor; they were all shouting at once, running about the temple for their spears,
* Luncheon.
and preparing the torches in a way which looked like business. Lim himself was so excited that he could hardly translate, but I finally quieted him enough to learn the news; all five remaining goats, including the one over which I had sat up, had been killed, the country around was covered with blood tracks, and only one body and one head had been found. I endeavored vainly to repress a war-whoop.
The preparations which ensued were such as would have convinced an observer that the village was about to make a sally against a hostile tribe—the villagers sharpening their knives to cut down the bushes should the tiger have to be blocked in his cave, the huntermen arranging the torches and getting the oil, and the sportsman making sure for the fifteenth time that his gun barrels were spotless and his cartridges in pockets quickly accessible.
At eight we were on the spot where I had kept watch the night before. The string which tied the goat had been torn off short and at a distance of ten yards was the head of the animal, torn roughly from the body. The men then brought up for my inspection the body of still another goat, untouched except for two distinct teeth marks in the neck, made as cleanly as though by a vampire. This was excellent news, for the tiger had clearly killed more than he could eat, and must have retired for the day to some cave nearby to sleep off his gorge. But actually to track him to his lair was no easy work, for the trails of blood which led in several directions were quickly lost in the low scrub, and in a few minutes we had to abandon the idea. To search all the large caves in the vicinity and trust to fortune to find him seemed the only thing to be done.
Then followed a scene which, under the circumstances, was thoroughly amusing, though at that time I was too impatient at the delay to appreciate it. The huntermen set the idol, which, as I have said, they invariably carried with them while hunting, on a rock, and gathering about it they lighted joss-sticks and proceeded to worship in the usual manner, clasping their hands, waving the joss-sticks three times up and down, and then placing them in the sand about the image. They then asked the idol if the tiger was in a certain cave which opened within a hundred yards
of us, at the same time throwing up two pieces of wood, each with a smooth and a rough side. Should they come down even, the answer would be affirmative; if odd, negative. Mirabile dictu, the reply was "yes." The men immediately picked up their spears and ran down hill to the cave, which, like most of them, was formed of immense boulders, opening by a crevice leading straight downward. Then, stationing me at its mouth with warnings to be ready, they entered.
Five minutes passed. A hunter reappeared and said something which caused the crowd of villagers who had approached with us to scramble back up the hillside; Lim's eyes bulged as he whispered excitedly: "Get ready, Master, tiger inside."
The sport was now on in earnest. Bulletins were announced at regular intervals from below; at first they could see but one paw of the animal, then he moved and showed himself in full—"very large tiger," Lim translated. They were trying to drive him out; he might charge from any one of three openings, and I was to watch them all carefully, for it would be quick shooting. A half hour passed. Then came up the announcement that he had got into a small passage and could not be driven out; they would block him in, after which I must enter. The villagers immediately set to work gathering bushes, which they bound together and threw down to the opening, while the hunters came to the mouth and dragged them in. They worked quickly and quietly, but with a subdued excitement which kept my interest at highest pitch. My finger was on the trigger for four hours, nor did I dare take my eyes from the openings, for the men had cautioned me that until finally blocked, the tiger might charge out at any moment.
It was past midday when the seven men emerged and beckoned me to enter. I slipped down into the crevice, landing in a sort of small chamber which was partially lighted by torches, though my eyes, just from the sunlight, could not see where it led. They led me to one side and pointed to a narrow shelf or ledge, from which an opening seemed to lead straight into the face of the rock; Lim, who was behind me, translated that I was to crawl into it until I came to the tiger. This did not sound reassuring, but knowing that the men were quite trustworthy, and would not send me into a risky position, I scrambled quickly in, dragging the express behind, as I was too cramped to carry it with me.
One of the men held his spear ahead of me in the passage, though he himself stood behind. I crawled slowly in for some ten feet; it was quite dark and I was ignorant as to where the animal was, or how the passage ended. Then there was a loud snarl within a few feet of my face, and I knew by the sound that the tiger was in another cavern opening off mine. My eyes were now becoming used to the darkness, and by the light of the torches which had been thrust into the tiger's cavern from underneath, I could see him in full. He lay on a ledge of rock, facing me, his green eyes shining and blinking sleepily in the light, his great striped back moving up and down as he panted from fright and anger. His face was not four feet from mine when I had come to the end of the passage, but there was little danger, since he was too much cowed by the light to charge, and had he done so, my opening was too small for him to enter. I lay a full five minutes watching him. At the end of that time I moved the express slowly into position, being badly cramped; the tiger snarled angrily as he saw the barrel approaching him and drew back restlessly, still roaring. This was not pleasant to hear. I then fired, without being able to see the sights, but trusting to hit a vital spot. He gave a few leaps—lay panting— and after two more shots, was still.
Once in the opening again, I realized for the first time at what high tension my nerves had been kept during the four hours of watching, and with the strain over came the natural reaction. In another hour we had dragged the tiger up to the mouth of the cave, photographed him and then carried him, suspended from a pole, to the village, while the peasants ran alongside, laughing, shouting and showing their delight generally. The occasion was all that could be desired. I skinned the body on a large flat rock in the village, found to my satisfaction that it measured ten feet six inches from nose to tip of tail, and then adjourned to the temple, where a feast of triumph and tiger-meat was held throughout the evening.
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INTERNET DELIVERY FOR VET SECTOR STUDENTS AT UNISA
Dr. David Snewin, Senior Lecturer and Course Coordinator School of Education, University of South Australia
ABSTRACT
Distance education students in a B. Ed (In-service) Education and Training of Adults strand, traditionally serviced by standard distance education techniques, including print media and telephone conference, were offered the opportunity to participate in a new learning experience using the Internet.
A team of academics and IT staff modified a set of management subjects to run on a dedicated web page. The text-based materials were still distributed to students in advance, and an initial telephone conference was used to describe to students how the Internet delivery would be used, particularly the threaded web chat page. Written information was provided to assist students to access the Internet and the dedicated web page.
Initially, students were reluctant to comment on the chat page and then, very slowly and prompted by examples of hyper-linked web resources, questions and ice-breakers from the academic staff, responses started to appear. An initial web conference was scheduled for local and international students and students finally began to discuss questions among themselves and offer help to oneanother. This was what the team had been waiting for, but it had been a long time coming!
Introduction
Late in 1997 several VET-sector distance education students had indicated a desire to undertake a Summer School of two to three weeks to complete a suitable subject during the New Year break, using mainly electronic delivery. These students were enrolled in the Bachelor of Education (Inservice) in the Education and Training of Adults strand and typically comprised industrial trainers and senior training officers, TAFE instructors, nurse educators, armed services training personnel and adult and community educators. For a variety of mainly technological reasons this Summer School did not eventuate but the methodology was used during Semesters One and Two of 1998.
The idea of using electronic delivery in addition to more traditional methods of delivery was examined by the team and it was decided to run with it during 1998. To this end a variety of teaching and learning strategies was examined and the use of the Internet and email was considered to be a central focus of the program.
Khan (1997, 6) defines web-based instruction as '… a hypermedia-based instructional program which utilises the attributes and resources of the World Wide Web to create a meaningful learning environment where learning is fostered and supported.' The key point in this definition would seem to be the '… meaningful learning environment… ' which may, or may not, be achieved in practice. To provide additional support in the light of Khan's comments, traditional course materials were to be issued to all students so that those who did not have access to the Internet would still receive the standard package, while those with Internet access would have additional benefits.
Students were advised that the program was really a pilot program for the purposes of research into identifying more innovative and effective teaching and learning methodologies. They were given the option of enrolling under a purely distance education program or, and in addition to this, utilising the Internet. The subjects chosen to be presented in this pilot scheme were Management Studies A (Part 1 and Part 2) over two semesters.
Background
The University of South Australia, formed in 1991, and its predecessor organizations comprising teachers colleges and institutes of technology, delivers its course offerings both on-campus and by distance education. The School of Education provides a limited program in human resource development education, education degrees at various levels, and programs specifically designed for adult and vocational educators. Approximately two-thirds of the education and training of adults student body undertake all, or at least a major part of their studies, in the distance education mode and are situated throughout Australia and overseas.
Two academics comprising the author and a colleague, Fiona Underwood from the Adult and Vocational Education group of the School of Education, discussed what might be appropriate teaching and learning strategies to best meet the needs of students in existing subjects, when facing everdecreasing resources and limited time. The two academics consulted a contract information technology lecturer and an information technologist for ideas.
This paper examines the processes used in the exercise; comments on outcomes; suggests areas for improvement and makes recommendations regarding the role of training for both students and staff members.
The Process Used
The web pages of other organizations were explored for ideas on presentation, content and delivery. The team wanted guidelines on 'best practice' internet teaching, but this was very difficult to detect from either the literature or the internet itself. As noted by Bannan-Ritland, Harvey, and Milheim, (1998, 77), '… many educators still believe that the mere use of this medium constitutes an engaging learning experience.'
In many instances an institution might place a subject outline and some background information on to a home page. At other times, the entire print material package might be loaded onto the web site for students to print off the materials. The UniSA team wanted to make inter-activity a major aspect of the program using as much staff to student, student to staff and student to student interaction as possible, but the methods noted above did not involve an interactive approach.
Visits were also made to some local and country educational institutions to see what flexible delivery methodologies were in use, but again, interactivity using the internet was not a component of the programs viewed. Furthermore, as noted by Bannan-Ritland et al, (1998, 77):
While the Web can certainly be a powerful medium for instruction and an appropriate delivery vehicle for crucial course-related information, significant confusion still exists regarding the mix of potential media elements available in Web-based instruction as well as its overall potential for learning.
Despite the team's intentions to use a variety of media, no sure certainty could be entertained regarding the effectiveness of overall learning outcomes.
Team members discussed various possible approaches that would focus on inter-activity as a major teaching and learning strategy. The usual flexible delivery methods of the University were to be retained (see for example, Snewin, 1996) and Internet delivery was to be in addition to these using a 'threaded web discussion' page. With this approach, both staff and students could place items on to a web page for others to read and respond to (Snewin, 1998a).
The first student response arrived: "Greetings from Bonnie Scotland". Encouraged by this sudden activity, the team placed questions, advice on assignments, hyper-linked Internet resources, and specific subject content information on to the web page and waited, and waited, and waited for students to respond.
Apart from the energetic and Internet conversant Scot, himself an ex-teacher from the VET sector, it was some days before another student, a self-proclaimed internet expert from the VET sector responded from interstate.
Very slowly, one by one, students began to respond on the discussion page with comments like 'Hello, I've managed it!' There was not, however, any sign of student to student interaction and no responses to the questions and comments put forward by staff on the web page. Wild (1996, 49) supports these findings on the inadequacies of Web interactivity:
… the provision of intrinsic and meaningful feedback using the Web is especially problematic - in this sense, the Web is not truly interactive and has no specific goal outside the goal constructions imposed by the learner.
Outcomes
Students were extremely reluctant to make comments on the Internet, but apparently used the hyperlinked Internet resource materials and answered the questions in a written form - but not on the discussion page! Some students telephoned to discuss the questions and others made comments about difficulty in using the Internet.
A student living in Singapore began using email to respond to questions. When asked why she did not respond on the web page, she said she preferred to interact on a one-to-one basis. This claim supported earlier research findings by the author (Snewin, 1994) where distance education students, in general, preferred individualised contact with their lecturer and preferred not to share that person with other students.
A joint Australian/American evaluation (Day, 1998) also discovered that students were equally reluctant to participate in two-way web presentations. Similarly, while presenting a paper in Penang, Malaysia recently (Snewin, 1998b), feedback from the audience indicated that those using the internet for interactive subject delivery were also experiencing student participation problems. Despite much prompting and cajoling, the UniSA team members could not achieve acceptable student to student internet interaction.
Towards the end of the semester, a web conference was organized and during this conference, students slowly began to chat to one-another as they would normally do during a telephone conference. They offered advice, assistance and support to one-another and a genuine interactive approach developed. The team was delighted and evaluation by participating students indicated that they had enjoyed the trial of the subject on the Internet, and were looking forward to other subjects being made available on the web in semester 2.
Staff Development Implications
The team reviewed the outcomes of the exercise and decided that both students and academic staff members needed to have some prior training and ongoing support if the use of the Web as a teaching/learning medium was to be effective. To this end, the following recommendations were formulated.
Recommendations
Recommendation 1
Participating students should be provided with written instructions on how to use Web-based teaching learning materials.
Recommendation 2
A telephone conference to be standard practice prior to the use of Web-based instruction to allow for better student to student and staff to student interaction.
Recommendation 3
Educational staff members moving in the direction of greater use of the Internet for both subject delivery and access to international resources, need training time.
Recommendation 4
Any program utilising the Internet needs to be transparent in its operation, lacking in complexity, and with all necessary commands being intuitive and/or clearly prescribed.
Recommendation 5
In the case of software, far too often academic staff members are provided with the latest version of a program when they were not really proficient with the earlier version. Therefore, greater consultation should occur between IT staff and academic staff to inform on compatibility and new version features, before any changes are implemented.
A thought for the day
Academics in today's universities do not have the luxury of unlimited time to stumble along the Internet learning curve.
REFERENCES
Bannan-Ritland, Brenda, Harvey, D. M., and Milheim, D 1998, A general framework for the development of Webbased instruction, Educational Media International, 35(2), June.
Snewin, D. G 1994, Student perception of the effectiveness of open learning/distance education strategies in vocational education awards. Paper presented to Improving the quality and effectiveness of learning for the learner. International Open Learning '94 Conference, November 9-11, Brisbane, Queensland.
Day, Ingrid 1998, Report on web delivery trial. Report to University of South Australia. Adelaide, South Australia. Khan, B. H 1997, Web-based Instruction (WBI): What is it and why is it? In: Khan, B. H. (Ed.), Web-based Instruction. Educational Technology Publications, Englewood Cliffs, NJ.
Snewin, D. G 1996, Flexible delivery in the University of South Australia's B. Ed. (In-service) Education and Training of Adults Program: Some outcomes of research into students' views. Paper presented to 2nd International Open Learning '96 Conference, December 4-6, Brisbane, Queensland.
Snewin, D. G 1998b, Students' perceptions regarding the effectiveness of strategies for flexible delivery in vocational education awards. Paper presented to Assessing Quality in Higher Education, Mutiara Beach Resort Hotel Tenth International Conference, July 27-29, Penang Island, Malaysia.
Snewin, D. G 1998b, The pathway to internet education is paved with good intentions. Paper presented to 3rd International Open Learning '98 Conference, December 2-4, Brisbane, Queensland.
Wild, M 1996, Building knowledge networks. The scope of the World Wide Web, Australian Educational Researcher, 23(3), December.
Author details:
Dr. David Snewin Senior Lecturer, School of Education, University of South Australia Holbrooks Road, Underdale, SA 5032
Tel: 08 83026224. Fax: 08 83026239
Email: [email protected]
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DRAWN
7/1/11
BJD
The work is licensed under a Creative
Commons Attribute-Share Alike 3.0 License
CHECKER
MECH.
ENGR.
ELEC.
ENGR.
PROJ.
ENGR.
CHIEF
ENGR.
| REVISIONS | | | |
|---|---|---|---|
| SYM | DESCRIPTION | BY | DATE |
| 1 | ORIGINAL | BJD | 7/1/11 |
Notes: Material: 6mm or 1/4" Acrylic or HDPE
Motor Bracket NEMA 17
www.buildlog.net
B17008
SHEET 1 OF 1
SCALE
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FOR IMMEDIATE RELEASE
SUCCESSFUL PET CARE BUSINESS NOW FULL FAMILY AFFAIR as HUSBAND JOINS WIFE in ENDEAVOR
First, wife leaves corporate America nearly 10 years ago, now husband joins her to make a full entrepreneurial commitment while they raise a family.
Arlington, Virginia, April 6, 2010 – In one decade, Fur-Get Me Not, a local dog daycare, training and pet-sitting company, has grown to over 80 employees serving over 5,500 customers. Today it reaches a new milestone by announcing its first Vice President position as the business owner's husband leaves corporate America behind.
Leaving his prominent career in Telecommunications to join his wife as Fur-Get Me Not's first Vice President of Customer and Business Development, Steve Rosen plans to leverage his 15 years of experience from corporate America and his MBA at the University of Maryland's Robert H. Smith School of Business.
Steve's career experience spans business operations disciplines such as information technology, market strategy, business strategy, human resources and customer satisfaction at major telecommunications companies including Verizon, Comcast, Nextel and Sprint.
"I've been recruiting him for years" says Fur-Get Me Not Owner and President Tammy Rosen, "It has been a long road to this point and one that wouldn't have been possible without the support of family, friends, great employees, and of course our customers. I'm looking forward to partnering with Steve full time."
While Fur-Get Me Not was their first child, Tammy and Steve also share their lives with a 2.5 year old daughter and an 8 month old son, as well as their 8 year old golden retriever and company mascot. In recent months, they realized that having two separate careers while raising two very young children was becoming difficult and it was time to combine their career energy on growing Fur-Get Me Not. "We are now ready to tackle the many business ideas that we were unable to implement and we are confident the company will continue to succeed as we focus on growth and delivering services that exceed our customers' expectations," says Steve. "We are both looking forward to this exciting new chapter of the business and our personal lives."
ABOUT FUR-GET ME NOT:
Tammy Rosen founded Fur-Get Me Not in 2000 as a small pet sitting business operating out of their home. By 2003, the company had grown to 25 employees and it was time to expand. Finding a great location in Arlington, they opened a dog daycare and have continued to expand service offerings which now include dog daycare, boarding, dog walking, pet sitting, dog training and do-it-yourself pet bathing. Now with two offices (Arlington, VA and Washington, DC) and over 80 employees serving over 5,500 customers Fur-Get Me Not is consistently recognized for quality services and friendly, professional staff that make it all happen receiving "Best Of" awards from Washingtonian and Northern Virginia magazines. www.Fur-GetMeNot.com
For more information, contact Tammy Rosen 703-725-3271 or [email protected] or Steve Rosen 571-436-2894 or [email protected].
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FDA Advisory Panel Recommends Approval of the NeuroPace RNS® System for Medically Refractory Epilepsy
Novel Device Uses Responsive Brain Stimulation to Treat Patients Who Do Not Respond to Medication
MOUNTAIN VIEW, CA - February 25, 2013 - NeuroPace, Inc. today announced that on February 22, 2013 the U.S. Food and Drug Administration (FDA) Neurological Devices Panel voted unanimously (11 to 0 with two abstentions) that the clinical benefits of the NeuroPace RNS System outweigh the risks of its use. NeuroPace is seeking approval for the RNS System for treating adults with partial onset seizures that have not been controlled with two or more antiepileptic medications. The final decision regarding approval of the device is made by the FDA.
"We have worked for over 15 years to develop and clinically evaluate the RNS System. We are very excited that patients and physicians who need new treatment options so desperately are now likely to have the RNS System commercially available in the near future," said Frank Fischer, NeuroPace CEO.
The RNS System has been evaluated in three clinical trials, including the prospective, randomized, double blinded, sham-stimulation controlled pivotal study. The pivotal study primary effectiveness endpoint was met by demonstrating a 37.9% reduction in seizure frequency in the treatment group compared to a 17.3% reduction in the shamstimulation control group during a three month blinded evaluation period. This difference was statistically significant (p=0.012). Long-term results demonstrated sustained improvements in seizure frequency with median seizure frequency reductions of 44% and 53% at one and two years post-implant, respectively.
"There is strong clinical evidence that this new therapy offers substantial benefits to a significant population of people with medically refractory partial onset seizures," said Martha Morrell, MD, NeuroPace Chief Medical Officer and Clinical Professor of Neurology at Stanford University. "We look forward to working closely with the FDA to finalize both the labeling and the post-approval study commitments so that this technology can become available to patients as quickly as possible."
FDA accepted the company's Premarket Approval (PMA) application in November 2010 based on data from the pivotal study. A total of 256 patients have been implanted with the RNS System, and more than 1,200 patient years of experience with responsive stimulation have been accumulated to date.
About the RNS System
The RNS System is the first closed-loop responsive brain stimulation system designed to treat partial onset seizures. The system detects abnormal electrical activity in the brain through leads containing electrodes that are placed at the patient's seizure focus. When detection thresholds are met, the device delivers small bursts of electrical stimulation to suppress the abnormal activity before any seizure symptoms occur. Physicians can program the detection and stimulation parameters of the implanted RNS Neurostimulator non-invasively to customize therapy for individual patients.
About NeuroPace
NeuroPace designs, develops, manufactures and intends to market implantable devices for the treatment of neurological disorders by responsive brain stimulation. The company's initial focus is the treatment of epilepsy, a debilitating neurological disorder affecting approximately one percent of the population worldwide. An estimated 30-40% of the 50 million people worldwide (including 3 million Americans) with epilepsy experience uncontrolled seizures. In addition to treating epilepsy, responsive neurostimulation holds the promise of treating several other disabling medical disorders that negatively impact quality of life for millions of patients around the world.
Located in Mountain View, California, NeuroPace is a privately-held company.
###
Media Contacts Jeff Speer
Direct: (805) 617-2838
Mobile: (916) 397-5595
Email: [email protected]
Rebecca Kuhn
Direct: (650) 237-2700
Mobile: (415) 971-6282
Email: [email protected]
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2017-03-27T10:42:42Z
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LEVEL 3SM SECURE ACCESS
MOBILITY
Help enhance the productivity of your mobile workforce with this scalable and secure solution, providing remote VPN access (IPsec or SSL VPN) to your company network. Giving you the tools to securely manage employee remote connectivity while maintaining centralized user access policies.
Today's businesses require comprehensive mobile workforce management. Whether you are a large multinational corporation or a regionally based business, chances are you need to provide both resources and support to mobile employees. As your organization expands and the "Bring Your Own Device" (BYOD) trend grows, so does the complexity of ensuring secure connectivity to your corporate resources. Level 3SM Secure Access Mobility Service connects remote users or teleworkers to your network via IPsec or SSL-based Internet connections and a standard web browser. Whether they connect with a laptop, tablet or smartphone, you have the ability to securely manage employee remote connectivity in this diverse and evolving environment.
MPLS
Internet
No matter the dynamics of your business, if you have a mobile workforce with the need to travel, connectivity and security can be two of your biggest concerns. As the BYOD trends permeate your business, the task of managing users and different devices can become overwhelming for even the seasoned IT professional. Let Level 3 help with our Level 3 Secure Access Mobility solution which can help enable your workforce to connect to your corporate network from anywhere around the world, on almost any device while providing centralized management tools for authentication, user role mapping, resource and sign-in policies. This way your staff can keep an eye on devices, users and permissions to ensure only authorized personnel have access. Our solution can foster productivity within your staff, no matter the setting, providing access to business critical applications anywhere, anytime, while helping to ensure your data is moving securely and your infrastructure/systems are being accessed by the appropriate parties.
Business Solutions
Scalable – Extensive global footprint available as a network-based solution for mobile connectivity with gateways on four continents and the flexibility and capacity to grow with your business.
Low cost – Help reduce your capital outlay and control headcount/IT staff with a predictable monthly cost and no upfront capital expenditure or continued investment in hardware or software to add more users.
Maintain business continuity – Help to ensure employees traveling or out in the field have secure access to necessary resources.
Simplify IT Management – Help to securely manage employee remote connectivity in a BYOD environment with centralized management for authentication, user role mapping, resource policies and sign-in policies
Security – IPsec and SSL provide end-to-end encryption and tunneling to help meet the challenges of transmitting unencrypted text and help to ensure that your company's private data remains secure.
By 2015, it is expected that the world's mobile worker population will reach 1.3 billion or 37.2% of the total global workforce.
(IDC WORLDWIDE MOBILE WORKER POPULATION 2011-2015 FORECAST DOC#232073)
Technical Features/Capabilities
Equipment – Juniper (SA) 6500
- - Supporting 50-1,500 users
- - IPsec (VPN Tunneling) or SSL VPN (Web Access) connectivity options
IPsec
Support for full VPN capability on supported clients using IPsec and/or SSL as the transport mechanism
Split tunneling is standard
Standard transport mechanism is ESP, AES/128 SHA1 standard encryption
Software must be installed on client device (Network Connect or Junos Pulse Client)
Host Checker is supported with web browsers and the Pulse/Network Client but is not standard, requiring a security consulting engagement
SSL VPN
Multiple access options
- - Web URL access
- - Terminal services
- - Telnet/SSH
- - File access
Traffic is permitted to RFC 1918 address space
One landing page per customer
Does not require specialized software to be placed on remote devices
Host checker is supported with web browsers and the Pulse/Network Client but is not standard, requiring a security consulting engagement
SSL VPN Access Options:
Web URL access
Microsoft® Outlook® Web Access, SharePoint® and Citrix® Web Interface
The standard number supported with this service is ten.
For general URL access, only Web ACL and Single Sign-on (SSO) policies will be supported
Terminal services
Limited to Windows®, Linux® and MAC® clients.
The standard number supported with this service is two
Telnet/SSH
Support is limited to Windows, MAC and Linux clients
The standard number of connections supported with this service is two
File access
SSL VPN access to Windows and Unix File Shares leverages Single Sign-on for statically added resources
The standard number of connections supported with this service is two
Globally dispersed VPN gateways:
- - NA: New York, Houston, Sacramento
- - EMEA: London, Amsterdam
- - LATAM: São Paulo
- - APAC: Hong Kong
Multiple devices supported with an Internet connection and web browser
Mobile and local device support; covering Windows® MAC, Linux®, AndroidTM and Apple® iOS platforms.
,
Internet Explorer®, Firefox®, Safari®, ChromeTM
Access management:
Supports utilization of various authentication systems to include Windows Active Directory (AD), LDAP and RADIUS
Customers using AD will also have single sign-on
The default is to support one authentication realm and up to two authentication servers.
Services supported with either Level 3 or customer managed RADIUS service.
User Role(s): The customer has the option to define up to three roles as a part of the standard configuration.
User Role Mapping: Support of role mapping via username and group membership can be done when active directory and/or LDAP authentication/directory servers are configured within the specific realm.
We build, operate and take end-to-end responsibility for network solutions that connect you to the world. We put customers first and take ownership of reliability and security across our broad portfolio.
Resource policy(s): The supported resource policies are broken down based on service type categories such as Web Access, File Access, Telnet/SSH, Terminal Services and VPN tunneling.
Sign-in policies: One sign-in page is standard with the service.
24 x 7 proactive support: Our expertise and monitoring systems are designed to detect the health of your solution. We provide device and service proactive monitoring with sophisticated threat identification and protection tools.
Real time security reporting: audit reporting with a client connection summary providing data about connections over time, connections by user, failed connections by user, connections by realm and connections by role and last 20 Juniper Events
Why choose Level 3 for managed security?
Global network & threat data - Our global collection of IP, CDN, DNS and MPLS network assets provides us an exceptional view into the threat landscape and tremendous amounts of attack data, enabling us to help identify threats, correlate data and identify/mitigate threats more quickly.
Security Operations Center (SOC) – Enjoy the simplicity of a single point of contact with the Level 3 Security Operations Center (SOC) staffed 24 x7 with analysts and engineers who stand ready to proactively and efficiently respond to your security issues, including physical and logical alarms, attacks, suspicious or abnormal network activity, and assist with your security inquiries.
Simplifying Vendor Complexity – The suite of Level 3 Security Services was created to integrate seamlessly with our entire global portfolio of network services, so you can buy and manage everything you need in one place.
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FINISHING SERVICES
Finishing
In-Lab Time 1-2 Business Days
UV Coating
UV coating gives your print an extra barrier from the elements and provides protection from sun fade, scratches, and wear and tear. Add this service to an album that you wish to be protected from minor amounts of dirt and endure more handling, or prints that may be framed without glass. UV Coating is a liquid substance that is evenly coated onto the surface of the print and then 'baked' into the print using a high temperature UV lamp, protecting your print while sustaining the life of your photographic product.
Styrene
2mm and made out of durable plastic, styrene is an excellent alternative to traditional cardboard mounts. Fiber-based mounting substrates tend to absorb water over time, which leads to bowing or warping. Styrene has no natural fibers, and therefore is not affected by changes in humidity. This means no more warping! As an added bonus, it's more resistant to edge and corner damage than cardboard mounts, too. Only available in white.
Foam Core
This board is about 1/8" of an inch thick and has a soft white foam core. Foam core should be framed soon after mounting to prevent warping. Kwik foamboard hangers are available for purchase through the ROES software.
Gatorfoam
This substrate is the premier choice for exhibits, signs and even just standard everyday mounting. Gatorfoam board excels when light weight, strength, rigidity and warp resistance are a must! Only available in black and in sizes of 3/16" and 1/2". Kwik foamboard hangers are available for purchase through the ROES software.
Masonite These boards are ultra-smooth tempered hard boards that are coated with a permanent, pressuresensitive adhesive. Recommended for high quality images and fine art photos, this board will not warp. Only available in standard sizes.
Bevel Board
Bevel Mount Boards add elegance and sophistication to any photographic print. A print mounted on Gold or Black Bevel Mount Board becomes a time honored presentation of the highest quality. Bevel Mount Board is about 1/8" thick and is beveled at a 40 degree angle to increase the effect of the colored edge and enhances the appearance of your presentation. Available in metallic gold and black lacquer and 5x7 print size only.
Standout Mount
Standouts are 3/4" and 1-1/2" thick lightweight boards banded with an attractive hard edge. 1 1/2" standout mounts are undersized 1/2" , 3/4" standout mounts are undersized 1/4". In addition standouts have hanging holes on the back. These mounts come with a finished edge from the factory and they're only available in black and standard sizes.
FINISHING SERVICES
Finishing
In-Lab Time 1-2 Business Days
| Size | Linen / Pebble Texture | UV Lustre Coating | Single Weight Artboard | Styrene 2mm | 3/16” White Foamcore | 3/16” Black Gatorfoam |
|---|---|---|---|---|---|---|
| 5x7 | 0.13 | 0.55 | 2.90 | 4.35 | 6.25 | 8.95 |
| 8x10 | 0.29 | 1.20 | 2.90 | 4.95 | 6.25 | 8.95 |
| 10x10 | 0.56 | 1.25 | - | 7.50 | 8.50 | 13.45 |
| 10x20 | 1.16 | 2.50 | - | 10.25 | 10.50 | 16.25 |
| 11x14 | .56 | 1.93 | - | 7.50 | 8.50 | 13.45 |
| 11x17 | 1.16 | 2.34 | - | 10.75 | 13.00 | 19.35 |
| 12x12 | .56 | 1.80 | - | 10.75 | 13.00 | 19.35 |
| 12x18 | 1.16 | 2.70 | - | 10.75 | 13.00 | 19.35 |
| 16x20 | 1.16 | 4.00 | - | 10.75 | 13.00 | 19.35 |
| 16x24 | 1.92 | 4.80 | - | 16.50 | 19.00 | 28.80 |
| 20x24 | 1.92 | 6.00 | - | 16.50 | 19.00 | 28.80 |
| 20x30 | 2.40 | 7.50 | - | - | 24.25 | 36.75 |
| 24x30 | 2.88 | 9.00 | - | - | 28.00 | 45.30 |
| 24x36 | 3.46 | - | - | - | 32.00 | 54.50 |
y y All styrene, foamcore and gatorfoam are undersized 1/16"
y y 1 1/2" standout mounts are undersized 1/2"
y y 3/4" standout mounts are undersized 1/4"
y y Please take this into consideration when submitting a designed print for mounting
y y Many more sizes are available through ROES
y y Add an additional 1 day to in-lab time for each finishing service
| Size | Bevel Board | Masonite | 3/4” Stand- out Board | 1 1/2” Standout Board |
|---|---|---|---|---|
| 5x7 | 7.50 | - | 13.00 | - |
| 8x10 | - | 6.50 | 16.00 | 24.00 |
| 8x12 | - | 8.90 | 19.00 | - |
| 10x10 | - | 9.50 | 20.00 | - |
| 10x20 | - | 15.25 | 29.00 | - |
| 11x14 | - | 11.35 | 23.00 | 36.00 |
| 12x18 | - | 15.25 | 31.00 | - |
| 16x20 | - | 17.90 | 32.00 | 58.00 |
| 16x24 | - | - | 45.00 | - |
| 20x24 | - | 24.90 | 47.00 | 85.00 |
| 20x30 | - | - | 60.00 | 103.00 |
| 24x30 | - | - | - | 118.00 |
|
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Bologna Translation Service (BOLOGNA)
Funding agency: European Commission
Funding call identification: ICT-PSP 4th Call
Type of project: Theme 6: Multilingual Web
Project ID number: 270915 http://www.bologna-translation.eu
List of partners
CrossLang, Belgium (coordinator)
Convertus, Sweden
Applied Language Solutions, UK
Koç University, Turkey
Eleka Ingeniaritza Lingusitikoa, Spain
Project duration: March 2011 — February 2013
Summary
BOLOGNA (the "Bologna Translation Service" (BTS)) is an ICT PSP EU-funded project which specialises in the automatic translation of study programmes from French, German, Spanish, Portuguese, Turkish, Finnish into English, and from English into Chinese. At the core of the BTS framework are several machine translation (MT) engines through which webbased translation services are offered. The fully integrated BTS architecture includes a translation system that couples rule-based and statistical MT with automatic and human post-editing and translation memory.
The BOLOGNA project has just had its first annual review, on March 30, in Luxembourg. A first prototype of the service is now available and the initial user group has been expanded to over 50 universities and higher education institutions from 13 countries. Baseline systems have been built for all language pairs in the project and advanced systems are on their way.
85
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COLONEL HARRY An Original Screenplay by
Johnny B. Campbell
FADE IN
INT. AG PLANE – DAY
We fly over some trees, just missing them, and then drop down almost to the ground and find power lines and a fence right in front of us. Just missing the fence, we drop down again as if to land on the crops but we're going way too fast!
Looking back, white fog swirls down into the crops. Looking ahead, a FLAGMAN holds a flag above the crops. We head straight for him and the tree line right behind him. The flagman drops the flag and hits the dirt to avoid being decapitated and we pull up violently to miss the eucalyptus trees.
A sudden wing-over and we drop down, just missing the trees, and back on the crops, heading the other way. The flagman wears a white chemical suit and gas mask.
EXT. FIELD – DAY
The pilot puts on a beautiful air show of graceful near-crashes and finally lands on a dirt road nearby, next to an old pickup with a chemical tanker behind it. The canopy pops up and the PILOT emerges, steps down to the wing and to the ground. The pilot is HARRY SWAIN.
Harry takes the hose and inserts the nozzle into the spray tank of his Piper ag plane. Then he begins pulling and pushing on the pump handle on top of the tank. Fumes rise out of the tank and he turns his head away, grimacing slightly. He waves his worn cowboy hat at the fumes.
A new pickup approaches and parks nearby. A FARMER gets out and waves. Harry nods at him.
FARMER
Harry! Forgot to warn ya about my neighbors!
HARRY
Warn me? Whaddya mean?
FARMER
They're growin' some of that high octane tobacco and they don't want any of your weed killer on it, if you know what I mean!
Harry looks around.
HARRY
They're growing pot out here in open fields? Where?
COLONEL HARRY
(points)
FARMER
Over thataway. Just be careful, 'cause they're kinda ornery.
HARRY
How the hell they get away with that?
FARMER
Three guesses! Just be careful, buddy. They got no sense of humor.
Harry frowns and keeps pumping weed killer into his plane.
HARRY
Never heard o' such a thing!
FARMER
Aren'tcha losin' yer light?
HARRY
Yeah, power lines might bite me in a half hour or so. I'll finish this field now and get the other one in the morning.
Harry sees the weed killer overflow and stops pumping. The farmer coils the hose and Harry gets back in his plane, firing it up. He taxis and takes off suddenly, gets back into his risky routine.
INT. AG PLANE – DAY
As the sun starts to go down, Harry seemingly climbs a eucalyptus tree and then up in the shallow sky for a lookaround. A couple of fields over, he spies the marijuana crop. He overflies it, examining it in wonder.
A bullet hits his plane and he jerks at the noise.
HARRY
(cont'g)
Aw, man!
He looks around for damage and does a split-s, reversing direction.
EXT. FIELD – DUSK
Harry's plane lands and taxis to his truck. The canopy comes up and he gets out to inspect the damage.
Harry finds a bullet hole in the chemical tank, 2,4-D dripping out. He sticks his finger in the hole and sighs.
HARRY
(cont'g)
Crap.
He wads up a piece of paper and stops the hole, then goes to his truck for a more permanent repair.
As he applies a screw-in stopper to the hole, a Lexus appears next to his plane. Harry straightens up and looks as the GROWER gets out. The grower has a pistol on his belt.
HARRY
(cont'g)
You do this?
GROWER
No chemicals on our crop.
HARRY
Strictly organic, are you?
HARRY
(cont'g)
And I guess you got Farmer of the Year from the sheriff…
(cont'g)
HARRY
Well, look pal – in the morning I hafta spray this guy's field which is next to yours … I'll be careful, though.
The grower shakes his head.
GROWER
Forget it. You don't come anywhere near us with that crap.
Harry stares at him.
HARRY
Come on, man – this is USDA-approved weed killer! It's safe!
GROWER
Weed is my business, moron. Stay away!
The grower gets back in his Lexus and exits field. Harry finishes his repair job and gets in his pickup. His flagman trudges in from the crop field and unhooks the tanker. He gets in with him.
INT. PICKUP – DUSK
The grower nods.
The grower nods.
The grower nods.
As Harry drives to the motel, the flagman, LEROY, looks at Harry's magazine, Polo.
LEROY
So that guy actually hit the plane? With a handgun?
HARRY
Slop shot. Couldn't do it again.
LEROY
Still dreamin' about playin' polo, Harry?
HARRY
We all need a dream, Leroy.
LEROY
But we oughta keep 'em realistic. You ever even seen one o' these polo horses? think you could do that?
PHOTO
A high-goal player is caught hitting a ball at a full gallop, all four of his horse's feet off the ground, another player trying to hook him.
HARRY
I'm a cowboy, Leroy. I can ride anything with hair.
Leroy looks through the magazine.
LEROY
Y'ever ride one o' these little saddles?
Nope.
HARRY
LEROY
Looks like – what do they call it? Cro-kay? On horses! Looks gay.
HARRY
Polo's the world's most dangerous sport, Leroy. It's the Sport of Kings!
LEROY
Thought that was horse racin'.
Same thing.
HARRY
Harry sighs.
LATER - NIGHT
They pull into the shabby little motel. They go to separate rooms.
EXT. FIELD – DAWN
Harry's ag plane warms up. The farmer drives up again and gets out as Harry steps up on wing. Leroy trudges to the field in his white suit.
FARMER
Hey, we got a problem -
HARRY
Tell me about it. I got a hole in my airplane from your neighbors.
FARMER
If the Japanese inspectors find any chickweed in my containers, they'll reject the whole thing and I gotta pay the return freight – from Japan!
HARRY
Uh, huh. And if I spray you right, Mr. Greenjeans might shoot my butt down. I need combat pay!
FARMER
Harry, if you don't spray it all, and they find one damn weed head…
Harry nods and looks over toward the problem field.
HARRY
No problem.
Harry gets in and takes off.
INT. AG PLANE – DAY
We climb straight up and level off quickly for a look and then drop down on the field. Leroy marks the first pass. We drop down and begin spraying.
EXT. FIELD – DAY
Again, Harry performs his swoopy act, back and forth, with his flagman dropping down just before he hits him. As he makes the last pass, next to the marijuana field, gunfire opens up from the tree line.
INT. AG PLANE – DAY
Bullets hit the canopy and fuselage, just missing Harry.
(cont'g)
HARRY
Well, you dirty word!
He wings over the tree line and searches for the shooter. Leroy takes off for the pickup, running in his white suit. The grower can be seen hiding in the treeline, shooting at us. Harry, obviously angry, notices that the shooter is out of ammo. He drops down on the marijuana field and begins spraying. He makes pass after pass as the grower reloads and starts shooting again, but Harry's flying is so jerky and violent that he's a hard target. Harry drops all his spray on the crop and then leaves the area for his truck. He sees Leroy make the truck and he keys his radio.
(cont'g)
HARRY
Leroy, you there?
LEROY (VO)
(breathless)
Harry! What the hell?
HARRY
We're done, Leroy – get the hell out of there. I'll meet you back at the ranch.
CUT TO:
EXT. HARRY'S HANGAR – DAY
Harry's ag plane lands and taxis into a dilapidated hangar. Harry exits plane. Three horses are in a pen near the hangar.
Sign on hangar:
"Harry Swain Crop Spraying"
LATER
Harry examines his shot-up plane as Leroy drives up.
LEROY
Geez, Harry – what the hell was all that?
HARRY
That was the dumbest stunt I ever pulled, bar none.
LEROY
Ain't ya gonna call the cops?
HARRY
The cops aren't going be much help on this one.
Leroy notices four bullet holes in the plane.
LEROY
Guy's a hell of a slop shooter.
EXT. CAFÉ – NIGHT
Harry's truck is parked outside.
INT. CAFÉ – NIGHT
Harry and Leroy have a sandwich at the counter.
LEROY
Tell me the part again where you told the customer, "No problem."
HARRY
Yeah. Well, he didn't hit anything vital…
LEROY
Like your head?
HARRY
Engine. Let's check it all out in the morning and head for La Grange and set up for Tuesday.
INT. HARRY'S TRUCK – NIGHT
As they approach the ranch, they see the hangar burning.
LEROY
Damn, Harry!
They roar up to the burning hangar, see the plane on fire inside.
EXT. HANGAR – NIGHT
Harry and Leroy run to the corrals and remove the three horses from danger.
Harry looks at the wreckage of his business and sighs.
EXT. HANGAR – DAY
Harry and Leroy walk through the smoking wreckage, salvaging things.
A black limo drives up and parks. The DRIVER gets out and opens the back door. Out steps LORENZO, the drug dealer.
LEROY
That your insurance man?
HARRY
I don't think so.
LORENZO
CUT TO:
Looks like you're out of the weed killing business, amigo!
Harry and Leroy stare at the gangster.
LORENZO
(cont'g)
Got a new job for you, Harry Swain.
HARRY
Not interested.
LORENZO
You owe us a lot of money.
HARRY
Looks like we're even.
LORENZO
Not even close, amigo. Hop in.
The driver shows them his pistol. Harry shrugs and heads for the limo.
HARRY
Take care of the horses, Leroy.
Lorenzo and Harry and the driver get in and leave.
INT. LIMO – DAY
Lorenzo offers Harry a glass of wine, which he accepts.
LORENZO
What airplanes can you fly?
HARRY
(sips wine)
I can fly anything with wings.
LORENZO
Good. Here is a first-class ticket to Miami…
HARRY
Miami?
The dealer hands him the ticket and some bulky paperwork. Harry sips his wine as he inspects it. He frowns slightly.
LORENZO
You will buy that airplane if it's in good shape. Then you will get new instructions.
HARRY
Uh, huh. A C-130? Do you know how big a C-130 is?
LORENZO
Of course I do.
Okay.
HARRY
LATER
The limo approaches a major airport. Lorenzo hands Harry an envelope, which Harry opens.
LORENZO
Get some proper clothes after you bathe.
Harry smells his shirt and eyes the dealer.
HARRY
What happens after I buy the airplane?
LORENZO
I'll see you in Miami.
HARRY
How 'bout my passport? I think you burned it.
LORENZO
You won't need identification.
HARRY
Yeah. How much do I owe you, exactly?
LORENZO
You destroyed several millions of dollars of product.
Harry sighs and gets out. The limo drives off. Harry goes inside.
CUT TO:
INT. MIAMI INTERNATIONAL – DAY
Harry emerges from his flight and heads down concourse toward the exit. A man, MARIO, holds up a sign with Harry's name on it. Harry joins him.
MARIO
You Swain?
HARRY
At your service.
Harry follows him and they exit airport.
EXT. MIAMI INTERNATIONAL – DAY
Harry gets in another black limo and is driven away. We follow the limo as it goes around the back of the airport to a private area of charter businesses and hangars with all manner of private airplanes.
The limo arrives at Rafferty Aircraft Sales. Harry gets out.
INT. RAFFERTY SALES – DAY
RAFFERTY is at his desk. He eyes Harry suspiciously. Harry produces his documents and squints at them.
RAFFERTY
Help you?
HARRY
You Mr., uh, Rafferty?
RAFFERTY
Whaddya need?
HARRY
Well, sir, I need a C-130.
RAFFERTY
That's it, out there. You work for Lorenzo?
HARRY
Uh – right. Lorenzo.
RAFFERTY
Well, they say you gotta do a real inspection, and it's pretty late, so why don't you come back tomorrow?
HARRY
That'll work.
Harry goes outside.
EXT. RAFFERTY SALES – DAY
Harry saunters over toward the C-130 and looks it over briefly. The limo follows him. Then he gets in and it leaves the airport.
EXT. MEN'S STORE – NIGHT
Harry comes out with some new clothes in hanger-bags. Back in the limo.
INT. LIMO – NIGHT
HARRY
Hey, what's your name?
Mario.
MARIO
HARRY
Hey, Mario – how far's Boca Raton?
MARIO
About an hour.
HARRY
Let's go there for dinner, Mario.
Mario shrugs and heads north.
CUT TO:
EXT. BOCA RATON HOTEL – DAY
Harry, dressed in his sharp new clothes but still wearing his worn cowboy hat, comes down the steps and gets in the limo.
INT. LIMO – DAY
Harry waves at Mario.
HARRY
Okay, Mario, before we go back down to the airport, swing by the polo club.
Mario frowns but then shrugs and heads off.
EXT. BOCA RATON CLUB – DAY
The limo pulls in the drive and along the fence line of a polo field.
INT. LIMO – DAY
Harry looks out at the polo ponies being exercised around the track. Grooms ride one and lead four horses each. Out on the field a player practices his shots at an easy lope. Harry gazes wistfully, and sighs.
HARRY
Okay, Mario – thanks.
Mario turns around and heads for Miami.
EXT. RAFFERTY SALES – DAY
Harry climbs up the stairway into the C-130.
INT. C-130 – DAY
Harry sits in the left seat and starts to examine the airplane. Looking out the windscreen, he notices a sleek WWII fighter plane nearby. He focuses on it and then tries to concentrate on his task. He checks the engine records and the past overhauls.
LATER
Harry looks out the side windows and then starts the engines. All fire. He runs them up and then gets on the radio.
HARRY
Tower, this is Rafferty C-130…
TOWER (VO)
Go ahead, C-130…
HARRY
Permission to taxi? Test flight.
TOWER (VO)
Roger, C-130. Runway 90 East.
HARRY
Thank you, Tower.
Harry taxis the big cargo plane past the fighter plane to the runway.
EXT. RUNWAY – DAY
The C-130 waits and then starts to roll. It quickly accelerates and pulls up suddenly, seemingly a very short roll.
INT. C-130 – DAY
Harry takes the C-130 on a quick check ride and gets in landing pattern.
EXT. RUNWAY – DAY
The C-130 comes in for a smooth landing, taxis back to Rafferty Sales. Harry eyes the fighter again as he passes by and parks the C-130.
EXT. RAFFERTY SALES – DAY
Harry gets out of the cargo plane and goes to Rafferty's office.
INT. RAFFERTY SALES – DAY
Harry looks sharper than he did the day before. Rafferty eyes him.
How'd she go?
RAFFERTY
HARRY
Yeah – no problem. Hey, Mr. Rafferty, what's the story on that P-51?
RAFFERTY
Sold. Ready to go.
HARRY
Sold, huh? Who to?
RAFFERTY
Some South American. Thing's
Harry sighs sadly.
HARRY
I know where there's three C-130s with newer engines than this one…
Rafferty gets angry but then nods reluctantly.
RAFFERTY
Wreck that Mustang and Lorenzo's on the hook for it!
HARRY
Betcha he can afford it.
Harry heads for the door.
EXT. RAFFERTY SALES – DAY
Harry goes to the limo and opens the door.
INT. LIMO – DAY
hotter'n hell.
HARRY
Whaddya mean, hot? Stolen?
RAFFERTY
No, for chrisakes – it's got six Browning fifty-calibers and about two thousand rounds. Legal, too.
HARRY
Live guns? How come?
RAFFERTY
Guy's loaded. Paid his transfer tax, and it's for export. So he's good to go. Be here this afternoon.
HARRY
Let me take her for a spin?
RAFFERTY
Yeah, right. That's a two million dollar toy, buddy.
HARRY
Well, that's about what the C-130 is going to bring you – if I sign off on it – right?
RAFFERTY
No dice, pal. Those things are tricky to fly.
Harry grabs his hanger-bags and other clothes. Mario watches in mirror.
(cont'g)
HARRY
Okay, Mario – I'll call ya if there's a problem.
MARIO
Plane's okay?
HARRY
It's a real beauty.
MARIO
I'll get the boss man and bring him back. He'll tell you the route.
HARRY
Righto, Mario. You go get him.
EXT. LIMO – DAY
Harry shuts door and Mario pulls away. Harry watches him until he's around the corner and then he goes to the fighter. He pulls the wheel blocks away and checks out the control surfaces. Then he climbs on the wing and rolls the canopy back, getting in. Soon, the big four-bladed prop starts to rotate and it fires. Harry rolls away.
INT. MUSTANG – DAY
HARRY
P-51 to Tower… Clear to runway 90 East?
TOWER (VO)
Roger, P-51, proceed and wait for directions.
The Mustang fighter rolls along the taxiway and makes its way to runway.
EXT. RUNWAY – DAY
Harry gets in line with commercial aircraft and eventually turns for takeoff. He gasses it and the sleek fighter gets airborne.
INT. RAFFERTY SALES – DAY
Rafferty watches Harry take off through binoculars.
INT. MUSTANG – DAY
We take off at 150 mph and head south.
TOWER (VO)
Uh, P-51 – nice takeoff. Did you file a flight plan?
HARRY
Negative, Tower. I'm just taking a little joy ride.
Roger.
TOWER (VO)
HARRY
(to himself)
Well, a medium joy ride.
We look down on Miami as we head south.
LATER
We fly along the Key West Bridge, very low over the water. Harry finds the owner's manual and starts looking through it.
(cont'g)
HARRY
Okay! We're in a P-51, D model. Hmm, long range drop tanks and she's all fueled up. That gives us… (checks)
over two thousand miles range. Right on.
LATER
We fly over Key West and we can see Cuba in the distance. Harry drops back down and turns east.
(cont'g)
HARRY
I think we shall avoid Cuba today.
We skim along the beautiful Gulf of Mexico, headed for adventure.
LATER
Harry looks down at an approaching island. We overfly and it appears deserted, with a dirt road leading to the beach.
HARRY
(cont'g)
Gotta be a men's room down there!
He checks out the road and then brings it in for a smooth landing next to the beach.
EXT. ISLAND – DAY
The Mustang rolls to a stop and Harry kills the engine, opens the canopy and hops out. He makes his way to a palm tree. As he zips up and makes his way back to the plane, he is confronted by a LITTLE MAN.
Harry nods.
(cont'g)
Whoa! Hey, there, little fellah! Thought I was alone!
LITTLE FELLAH
You drop in like great war god!
HARRY
Well, that's true!
LITTLE FELLAH
Hmph. War god had to hit the head!
HARRY
Uh – say, little fellah, where are we?
LITTLE FELLAH
We nowhere. In middle of nowhere.
HARRY
Well, is there a place around here where I can make money as a war god?
Little Fellah rubs his chin and thinks. Then he nods, counting.
LITTLE FELLAH
You go one, two, three, four, five – wait…
Little Fellah counts silently, looking at his fingers, going back and forth.
LITTLE FELLAH
(cont'g)
twenty-one, twenty-two islands south of nowhere and there be such a place.
HARRY
Twenty-two islands, huh? What would that one be called?
Little Fellah shrugs.
Somewhere?
LITTLE FELLAH
HARRY
Well, fair enough.
Harry shakes hands and goes back to his plane.
LATER
The Mustang turns and rumbles back up the dirt road, taking off.
EXT. RAFFERTY SALES – DAY
Mario drives up in the limo. He gets out smartly and opens the door for his passenger, Lorenzo, who gets out stiffly. Lorenzo goes inside.
INT. RAFFERTY SALES – DAY
Rafferty greets Lorenzo nervously.
RAFFERTY
Mr. Lorenzo. Nice to see ya.
LORENZO
Where's my pilot?
CUT TO:
INT. MUSTANG – DAY
We fly along, passing over one island, then another and finally, #22. Harry squints, looking down at a beautiful, lush tropical paradise. The island is sizeable, with vast clearings and palatial homes. Huge banana plantations with docks, freighters and yachts along the beaches. Harry blinks at the gorgeous scenery as he checks it all out.
Then, do his eyes deceive him? We overfly a polo match in progress! Large and small private planes are parked in the grass, near a colonial-style clubhouse.
(cont'g)
HARRY
Holy catfish! Polo!
In his exuberance, he gets a little low over the field and the polo players scatter for the sidelines. The goal tenders gape up at the fighter and then a work crew runs to remove the red and white goal posts, laying them down. The goal tender waves his flag at Harry to land.
(cont'g)
HARRY
Hell, yeah!
EXT. POLO FIELD - DAY
Harry executes a perfect short-field landing and taxis to the sidelines, out of the way. The POLO PLAYERS canter their horses toward the plane and circle it curiously. Harry waves, still wearing his old cowboy hat. In his haste to get out and greet the players, he hits the trigger for the machine guns on his steering gear.
All six guns fire ten rounds each into some decorative banana trees before he realizes what he's done. The polo ponies scatter in fear, jumping and bucking. Harry, horrified, sits back down and gets small. Slowly, fearfully, the players return. Harry finally gets out and waves sheepishly.
Senor Swine?
HARRY
(cont'g)
Afternoon, chaps!
The polo players are friendly. One of them gets close and smiles.
POLO PLAYER
Senor, are you lost?
HARRY
Sort of. Where are we?
POLO PLAYER
This is the Republica de Santa Fruta, Senor.
HARRY
Santa Fruta? Aha!
Harry has never heard of Santa Fruta.
(cont'g)
HARRY
Hey, don't let me interrupt your game! I love polo! Sorry about all the noise!
The players grin and ride off. A military jeep drives up. The DRIVER salutes.
JEEP DRIVER
Senor! Please to get in!
Harry gets in and off they go.
EXT. GRANDSTANDS – DAY
Harry is deposited in front of the grandstands. Another SOLDIER salutes and leads Harry up the stairs. Harry, in his new clothes, looks pretty sharp, except for the hat.
The soldier leads Harry to the center box seat, where a group of rich SPECTATORS turns and looks at him. One of them, RENALDO GRANDE, stands and offers hand.
SENOR GRANDE
Senor! Welcome to Santa Fruta!
Harry removes his hat and smiles at the spectators, one of whom is a beautiful YOUNG WOMAN.
Harry Swain!
HARRY
SENOR GRANDE
HARRY
Swaay –n. Swain.
SENOR GRANDE
Senor Swaay –n. Muy bien! I am Senor Grande and these are my friends…
Harry keeps smiling, looking around at the nodding friends.
SENOR GRANDE
(cont'g)
You grace us with your magnificent aeroplano! What an entrance you did make, with such fireworks! You just drop in como, como - a god of war!
Harry grins. He looks wistfully at the polo game in progress. Senor Grande notices.
SENOR GRANDE
(cont'g)
Senor, you have the look of a caballero! Do you care for polo?
HARRY
You could say that, Senor.
SENOR GRANDE
Then, please, Senor Swain, be my guest here in Santa Fruta! You possibly may care to fly for me.
Harry has landed in paradise.
HARRY
That's what I do, Senor Grande.
CUT TO:
EXT. SANTA FRUTA EXCELSIOR – NIGHT
This is a luxury hotel, with expensive cars coming and going.
INT. EXCELSIOR DINING ROOM – NIGHT
Harry sits with Senor Grande as they finish a five-star dinner.
SENOR GRANDE
Senor Swain, I'm thinking you can help me with my problem.
HARRY
I'm listening, Senor.
SENOR GRANDE
I am in the fruit business, as you can easily tell. But we have on our beautiful island a bunch of locos! Crazy ones, who consider themselves revolutionaries.
HARRY
Hmmm. Revolutionaries.
SENOR GRANDE
Si! They attack my plantations, they attack my shipping.
Hmph!
HARRY
SENOR GRANDE
I am afraid they may eventually attack my polo fields!
HARRY
(taken aback)
Senor - we can't have that!
SENOR GRANDE
I knew that would affect you!
INT. HARRY'S SUITE – NIGHT
Harry retires and kicks off his boots - in the lap of luxury.
EXT. POLO BARNS – DAY
Harry and Senor Grande inspect some polo ponies, handled by GROOMS.
SENOR GRANDE
You must be fitted for boots and britches, Senor Swain. We'll stop by my outfitter after lunch. Well? How do you like the horses? They are Argentina's finest!
Before Harry can respond, a yellow Ferrari drives up. The driver is the beautiful young woman from the box seats. Harry notices her.
SENOR GRANDE
(cont'g)
Ah, Querida! Excuse me, Senor Swain! My daughter, Rafaela! I failed to introduce you yesterday.
RAFAELA
Senor Swain. How do you do?
Harry lifts his hat. Rafaela smiles. Harry's in heaven.
INT. LORENZO'S MANSION – NIGHT
Lorenzo's on the phone. His assassin, MIGUEL, waits and listens.
LORENZO
South? That's it?
He hangs up.
LORENZO
(cont'g)
Swain took the fighter south and disappeared off the radar.
MIGUEL
He flew low. He will try to sell it in South America.
LORENZO
Go find him, Miguel. Bring back something, some part of him, that he cannot live without.
Miguel nods.
CUT TO:
EXT. HARRY'S RANCH – DAY
Leroy makes repairs on the corral, the burned barn and airplane in the background. Harry's three cow horses are grazing on hay on the ground. One of them, a mare, backs up and kicks at a gelding. Leroy yells at her.
LEROY
Hey, quit, Soapsuds! Cut that out!
LATER
Leroy finishes up on the corral and doesn't notice the mare, which is behind him now. She quickly backs toward him and tries to kick him but Leroy hears just in time and jumps sideways.
LEROY
(cont'g)
Well, you dirty cow! What the oh. You're in heat. Wonderful.
LATER
Leroy throws hay to the horses. He notices that one seems to favor a front leg. He goes in to investigate. Bent over, he picks a stone from a foot, and hears a car drive up. He straightens and sees Miguel get out and approach the corral. Leroy is apprehensive.
MIGUEL
Where did Swain go?
LEROY
I thought he was working for you guys.
MIGUEL
Hasn't he called you?
LEROY
Phone don't work so good since you guys burned it up.
(angry)
MIGUEL
What about mail?
The horses become uneasy and start milling around.
Nope.
LEROY
Miguel eyes the horses.
MIGUEL
These belong to him?
He pulls a pistol from his shoulder holster as he leans on the wooden fence. Leroy hesitates. The mare makes a lap around the corral.
MIGUEL
(cont'g)
Huh? They his?
He aims at the nearest horse but doesn't notice the mare which stops running next to him, whips around suddenly and fires with both back feet. The middle board is hammered right into Miguel's stomach and he is flung back onto his head, knocked out cold. Leroy's mouth drops.
LEROY
Holy crap, Soapsuds!
Leroy vaults the fence and picks up Miguel's pistol. He finds a length of rope and hogties him very tightly.
LATER
The hood of Miguel's car is up, wires are pulled out. All four tires are flat. Leroy ties the three horses to the back bumper of the pickup and gets in. He slowly drives out of the ranch with the horses trotting behind him.
Miguel is still trussed up but conscious. And blindfolded. He struggles against his bonds.
EXT. NEIGHBOR'S RANCH – DAY
Leroy drives in slowly, with the three horses trotting behind. The neighbor, PETE, comes out of his barn, waving at Leroy.
PETE
Takin' 'em for a walk, Leroy?
LEROY
Can you keep 'em for a while, Pete? There's four tons o' hay at Harry's. But I wouldn't go over there for a day or two…
PETE
What's going on? Where's Harry?
LEROY
I have no idea.
CUT TO:
EXT. POLO FIELD – DAY
Harry, in his new boots and britches and white polo shirt, rides a polo pony, tentatively swinging a mallet at a ball as the horse walks around. He hits it smartly, surprising himself. He breaks into a trot and taps it around the field.
HARRY
Piece o' cake, as I figured.
LATER
Harry is riding at a fast canter, and taking full swings from both sides of his horse. He figures how to hit it sideways and backwards.
EXT. POLO BARNS – DAY
Harry walks up to the hitching rail on his horse and dismounts. Senor Grande drives up in his SUV.
SENOR GRANDE
Ah, Senor Swain! Como le va?
HARRY
It goes well, Senor Grande, very well.
SENOR GRANDE
My spies inform me that you are hitting the ball well.
HARRY
Thank you, Senor – I have been thinking about it for many years.
SENOR GRANDE
Ah! You have visualized just such a thing. This I understand. I, too, am visualizing something.
HARRY
What might that be, Senor?
SENOR GRANDE
That you in your magnificent silver aeroplano will vanquish those revolutionaries who plague me.
HARRY
Oh – sure. But can't your soldiers deal with them?
SENOR GRANDE
My soldiers are, if I may confide in you, neither many nor motivated… They may even harbor some sympathy for the rebels.
HARRY
Well, what are they rebelling against?
Senor Grande shrugs.
SENOR GRANDE
Quien sabe? Perhaps they are bored with the good life?
CUT TO:
EXT. SANTA FRUTA JUNGLE – DAY
Seven unarmed REBELS, who look like students, sneak through the trees. They hear a truck coming and drop down.
A big truck makes its way along a rough trail and stops. The rebels watch as the DRIVER gets out and drops the tailgate. He climbs up and starts pushing out big canvas bags full of something onto the ground. When he is finished, he closes up and gets in and drives back the way he came.
The rebels watch as a dozen DRUG WORKERS materialize from the trees and gather up the big bags, which are not heavy.
The drug workers pull the bags into the jungle. Cautiously, the rebels follow them.
LATER
The drug workers drag the bags to a small clearing. Other DRUG WORKERS are digging a big, shallow pit and then line it with plastic. They are directed by RODOLFO, who has a pistol on his belt.
The rebels watch as Rodolfo tells the workers to bring the buckets filled with fluid. The workers empty the bags into the pit. The bags were full of leaves.
EXT. SANTA FRUTA AIRPORT – DAY
Harry, in boots and britches, examines the P-51. A mechanic, JOSE, helps him.
JOSE
It is a beautiful aeroplano, Senor Swain!
HARRY
Yep. Say, Jose – do you know anything about the rebels who are attacking Senor Grande's operation?
JOSE
Only that they are very determined, Senor.
HARRY
But everything here depends on the banana business, doesn't it?
JOSE
Si, Senor.
HARRY
I can't figure why they'd want to wreck the banana business.
Jose shakes his head in agreement.
JOSE
Are you going to attack them?
HARRY
I guess that's why I'm here. But how do I attack them? Where are they?
JOSE
They seem to be everywhere – and nowhere!
HARRY
Well, that's going to make it a little hard to attack them…
JOSE
Si, Senor…
The yellow Ferrari drives up to the airplane. Rafaela gets out. Harry takes off his cowboy hat.
RAFAELA
Ah, Senor Swain…
Rafaela laughs.
HARRY
Senorita Grande…
RAFAELA
How should I address the chief of the Santa Fruta Air Force?
HARRY
How about, "Harry?"
RAFAELA
Then you must call me "Rafaela."
Harry's chest swells and he puts his hat back on.
HARRY
Well, Rafaela, would you care to have lunch?
RAFAELA
I have an appointment, Harry, but perhaps another time? And I would love to go for a ride in this wonderful aeroplano…
Harry glances at the single-seater but nods agreeably.
HARRY
Well, I'll just see about that.
Rafaela laughs and gets back in her car.
RAFAELA
Ciao, Harry!
Harry watches as she roars away. Jose watches, too.
HARRY
Jose! We are going to make this into a two-seater!
LATER
Harry and Jose work in the cockpit, removing radar equipment and other gear from behind the pilot's seat.
HARRY
I guess I can do without this fancy radar for now. And this thing here…
JOSE
To give the senorita a ride I would do without my left -
HARRY
Uh, yeah – Jose. Now, let's rig up some kind of seat back here. And a seat belt.
LATER
There is a bunch of gear next to the fighter. Harry and Jose peer into the new back seat.
(cont'g)
HARRY
Fit for a queen!
CUT TO:
EXT. POLO FIELD – DAY
The grandstands are nearly full with well-dressed SPECTATORS. On the field, two TEAMS play exciting, high-goal polo.
CLOSE-UP of Harry, riding hard.
Harry, with a number 2 on his banana-yellow Santa Fruta jersey, concentrates on the ball. He hits the ball to his Number 1 who is near the goal posts and he scores. A red flag is waved overhead. The spectators applaud.
LATER
The teams reverse direction and the opposition dazzles everyone with brilliant play. Harry's team is outclassed.
LATER
The winning team is presented silver trophies by Rafaela. Harry watches from a short distance, with his teammates. Sr. Grande helps Rafaela present the trophies.
SENOR GRANDE
Senor Swain! Please come here!
Harry, surprised, goes to the winners.
SENOR GRANDE
(cont'g)
Amigos, let us show our great appreciation for the fine play by our new buen amigo, Sr. Harry Swain. I want to announce that Sr. Swain is now Coronel Swain, jefe of Santa Fruta's air force!
The people smile and laugh in agreement.
HARRY
The world's smallest air force.
SPECTATOR
For the world's smallest country!
SENOR GRANDE
Coronel! Congratulations on your new position, and on your fine play on the field!
INT. POLO CLUBHOUSE – NIGHT
In the comfortable men's lounge, the players and their friends relax and have drinks. Rafaela approaches Harry.
Ah, Coronel…
RAFAELA
HARRY
Harry – remember?
RAFAELA
Coronel Harry. I like that.
HARRY
Say, the airplane is ready for our ride together.
Rafaela nods and smiles.
HARRY
(cont'g)
I must admit, I'm not sure how exactly I can be of help to your father… Have you ever seen any of these rebels?
RAFAELA
Yes, I think so…
HARRY
I mean, how can I attack them? Where do they operate?
RAFAELA
Would you like me to show you?
Harry looks carefully over his drink at her.
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
Harry helps Rafaela into the P-51's back seat. It's still awkward but she squeezes in, in a tight skirt. Harry starts up and takes off.
P-51 COCKPIT – DAY
Harry and Rafaela wear headphones to communicate. In the cramped back seat, Rafaela refers to her GPS handset, unseen by Harry.
RAFAELA (VO)
Okay, Harry – go to the south.
The plane turns.
EXT. JUNGLE – DAY
The student/rebels look up through the leafy canopy and scatter.
The drug workers look up at the loud noise and stare.
P-51 COCKPIT – DAY
Rafaela checks their position. Then Harry starts showing off, putting the plane through its paces.
RAFAELA (VO)
(cont'g)
Oh, Harry! You're making me sick!
HARRY (VO)
Sor-ry!
That's the last thing Harry wants to do and he stops. Rafaela checks her GPS again.
RAFAELA (VO)
Harry – the bad ones are just over there.
HARRY (VO)
Where?
(looks)
RAFAELA (VO)
Just to our left.
HARRY (VO))
How the heck can you tell?
RAFAELA (VO)
Trust me, Harry.
Okay.
HARRY (VO)
Harry flies over the spot but can only see trees.
RAFAELA (VO)
Right here, Harry!
HARRY (VO)
You want me to shoot the trees?
RAFAELA (VO)
Yes! Shoot the trees!
HARRY (VO)
But I might hit someone!
I doubt it!
RAFAELA (VO)
Harry sighs helplessly and takes the fighter almost straight up. Then he lets it fall over on one wing and start to dive. Rafaela experiences weightlessness.
RAFAELA (VO)
Oh!
(cont'g)
HARRY (VO)
Sorry! Here we go!
The fighter heads down for the trees and Harry opens up.
ON THE GROUND
In the crude drug lab, the drug workers are terrified as bullets hit around them. Some bullets hit the chemical tanks and dirt explodes and the drying cocaine is messed up. Everything is pretty much wrecked but no one is hit.
NEARBY
The student/rebels watch from a safe distance and nod at each other.
DRUG LAB
Rodolfo climbs out of his collapsed tent, his cigar bent at a right angle. He stares up at the shredded trees, leaves still falling. He is incredulous at the attack.
P-51 COCKPIT – DAY
Harry heads back for the airport.
HARRY (VO)
Well, I shot the bejeezus out of those trees.
RAFAELA (VO)
No, Harry – you were perfect!
HARRY (VO)
But, how could you tell?
RAFAELA (VO)
Trust me, Harry.
HARRY (VO)
EXT. SANTA FRUTA AIRPORT – DAY
The P-51 lands and taxis to the hangar, now identified:
"STRATEGIC AIR COMMAND OF THE REPUBLICA DE SANTA FRUTA"
Jose finishes up his paint job with a flourish as Harry rolls back the canopy and gets out.
JOSE
Coronel Harry! Did you have good hunting?
Harry shrugs and nods vaguely as he helps Rafaela get out. They climb down. Rafaela beckons Jose to join them.
RAFAELA
Amigos, we did very well. But we must not mention to my papa that I was with the coronel – si?
Jose nods agreeably. Harry looks at her.
HARRY
Isn't he going to wonder how I knew where to shoot?
RAFAELA
Let it be the mystique of Coronel Harry…
HARRY
Well -
Harry walks Rafaela to her car. She kisses him on the cheek and gets in.
RAFAELA
You are a wonderful pilot, Harry. I am very proud of you.
HARRY
Guess I made my wages today?
RAFAELA
Si, mi coronel – you made your wages. Remember our secret.
Harry nods as she drives off. Jose leers at him. He frowns sternly.
HARRY
Nope. She's way too young for this cowboy.
EXT. POLO FIELD – DAY
Harry practices his shots as he lopes his polo pony. Senor Grande drives up to the sidelines and gets out. With him, Rodolfo gets out, too. Senor Grande waves at Harry.
SENOR GRANDE
Hola! Coronel Harry!
Harry rides over to the two men and grins at them.
HARRY
Morning, Senor Grande.
SENOR GRANDE
Coronel Harry, have you met my majordomo, Rodolfo?
Rodolfo stares at him balefully but nods. Harry nods back.
SENOR GRANDE
(cont'g)
Rodolfo tells me that you were practicing your shooting yesterday!
Harry looks at Rodolfo uncertainly.
HARRY
Ah, yes – I was.
SENOR GRANDE
Bueno! That should put those rebels on notice! Well done!
Rodolfo stares at Harry, who is slightly confused.
INT. LORENZO'S MANSION – NIGHT
Lorenzo holds his cell phone.
EXT. EL RANCHO GRANDE – NIGHT
Senor Grande's estate.
INT. RODOLFO'S SUITE - NIGHT
Rodolfo, in his quarters, on cell phone.
RODOLFO
That's exactly right. Swain attacked our operation with the fighter!
CUT TO:
INT. LORENZO'S MANSION – NIGHT
LORENZO
The son of a bitch steals a plane, makes me pay for it, and uses it against us!
RODOLFO (VO)
Again – exactly right.
LORENZO
Well, now we know where he is.
Lorenzo hangs up. He looks at his papers and dials number.
EXT. DALLAS HILTON – NIGHT
INT. HOTEL ROOM – NIGHT
Miguel answers the phone. A bandage is wrapped around his head. His ribcage is also taped up.
MIGUEL
Bueno? Si! Where? Santa Fruta!
CUT TO:
EXT. POLO FIELD – DAY
Senor Grande is mounted on a polo pony. He and Harry are alone on the field, stick and balling. They converge.
SENOR GRANDE
Harry! Let's take the team to Argentina for a match!
Harry's eyes light up. Argentina! The world polo capital!
HARRY
That sounds wonderful, Senor!
As they speak, a black SUV drives up. A US AGENT, HARPER, gets out. Senor Grande rides over to greet him.
SENOR GRANDE
May I help you, Senor?
AGENT HARPER
I'm looking for Harry Swain.
SENOR GRANDE
For what purpose, Senor?
AGENT HARPER
That's between him and me.
Senor Grande sighs as Harry rides up.
AGENT HARPER (cont'g)
You Swain?
Who?
HARRY
Senor Grande is deadpan. The agent nods sourly.
AGENT HARPER
Uh, huh. There's a little matter pending against you in Miami, Swain. Air piracy and grand theft. And what we hear about your activities here, we will be charging you with mercenary activities. Your passport's dead, bub.
SENOR GRANDE
Ah, surely Senor, things are not so drastic! Senor Swain is a welcome guest in Santa Fruta!
AGENT HARPER
Yeah. I'll bet. He's involved in suppressing a popular movement, which is a serious crime.
SENOR GRANDE
No, Senor! Senor Swain is only involved in playing polo, at which he excels! What is this about air piracy and theft?
AGENT HARPER
A little matter of a two million dollar airplane, which belongs to one Hector Bustamente of Buenos Aires.
SENOR GRANDE
Hector Bustamente? Hector is my good amigo, Senor! This is not a problem in any case. Hector and I shall solve it.
The agent stares at both of them.
AGENT HARPER
Swain, you know a Miami drug dealer name of Lorenzo?
Who?
HARRY
AGENT HARPER
What are you, an owl? Lorenzo!
HARRY
Never heard'a him. I don't know any drug dealers.
The agent grins.
SENOR GRANDE
Senor! These questions are most irregular! I must ask you to leave us now.
AGENT HARPER
Lorenzo is the new owner of that hot rod airplane you stole. You put him on the hook for it. What I hear, he's got a repo man looking for it. And for you.
HARRY
And my passport is dead?
AGENT HARPER
The mercenary's life, bub. Fun, huh?
HARRY
It was until you wandered into it.
The agent's grin fades.
AGENT HARPER
If I were you, bub, I'd get on one of his banana boats and sneak the hell out of here. You picked the wrong country to play in.
SENOR GRANDE
Senor! Please make all further contact with my attorney!
AGENT HARPER
You just might need one, Mr. Big. I suspect there's more than bananas going out of here on your boats.
Harry glances at Senor Grande, who frowns in puzzlement. Agent Harper turns and gets in his car and leaves.
HARRY
Senor, we need to talk…
SENOR GRANDE
Of course, Harry. But there is nothing you need explain to me.
They turn their horses for the barns and ride off slowly.
SENOR GRANDE (cont'g)
So, shall we arrange a match against my dear amigo, Hector Bustamente, in Buenos Aires?
Harry is startled by his patron's unconcern.
HARRY
Senor Grande, my passport, which I don't even have with me, is no good. I guess I'm a man without a country.
SENOR GRANDE
Nonsense, Harry. You have Santa Fruta! This is not America. It's time to live!
As they approach the barns, Rafaela's yellow Ferrari appears. Harry's mood brightens. Senor Grande notices.
SENOR GRANDE
(cont'g)
Ah! I believe you have a dinner engagement. I shall call Hector!
INT. HOTEL EXCELSIOR - NIGHT
Harry and Rafaela are seated in the dining room.
RAFAELA
Buenos Aires? When?
(shrugs)
HARRY
I think he's having the horses loaded in the morning…
RAFAELA
But, doesn't he want you to attack the rebels?
HARRY
You know, I'm not sure how important they really are to him…
RAFAELA
No, of course. Only polo is important.
Harry's blank look indicates total support for this position and Rafaela frowns briefly.
HARRY
We won't be gone long, and then I'll be back in action against the rebels!
RAFAELA
I think they are not important to you, either…
HARRY
Well…
CUT TO:
RAFAELA
I assure you, Coronel Harry – they are very bad people.
HARRY
I wonder why your father isn't that worried about them?
RAFAELA
Papa doesn't know what they do.
HARRY
-- Really? Then why does he want me to attack them?
Rafaela sighs and then sips her wine.
RAFAELA
To humor me, of course. Tell me, Coronel Harry, where did you learn to ride so well? Polo has come quite naturally to you.
HARRY
I'm just a cowboy from Oklahoma.
RAFAELA
Oklahoma! The home of Will Rogers, a famous polo player, also!
HARRY
He and my granddad played against each other…
RAFAELA
So!
(surprised)
HARRY
Will Rogers used to say, "I never met a man I didn't like, except Goober Swain." That was Gramps.
"Goober?"
RAFAELA
HARRY
Means peanut. Gramps picked peanuts and made his fortune in them. Depression wiped him out by '36. Gramps died of a broken heart after he had to sell his polo ponies. My dad was a kid and had to pick cotton to feed Grandma, which was typical.
RAFAELA
(sad)
"How are the mighty fallen." I would hate for such a thing to happen to my papa.
HARRY
Not much risk o' that, is there?
RAFAELA
These are dangerous times…
HARRY
RAFAELA
The rebels?
The rebels.
HARRY
Well, we can't have that!
EXT. HOTEL – NIGHT
Harry walks Rafaela to her Ferrari and opens the door. Rafaela kisses him. He is startled and his eyes widen.
RAFAELA
Does that displease you? I'm older than I look, if that is what makes you hesitate.
HARRY
(clears throat)
Rafaela – I'm a lot older than I look, and that's a lot older than you.
RAFAELA
I'm not prejudiced – are you?
HARRY
Good night, Rafaela!
He pushes her down to the driver's seat. She smiles at him.
RAFAELA
Hurry back from Buenos Aires, Coronel Harry! The rebels never sleep.
Harry sighs as he watches her drive away and walks back into the hotel.
CUT TO:
EXT. SANTA FRUTA DOCKS – DAY
Sr. Grande and Harry watch as the grooms lead forty polo ponies across the gangplank of a freighter. Sr. Grande hands Harry an envelope.
SENOR GRANDE
Coronel, your travel documents.
Harry opens the envelope and finds a Santa Fruta passport.
EXT. FREIGHTER – DAY
The converted banana freighter is at sea. Harry and Sr. Grande go below.
INT. FREIGHTER – DAY
The polo ponies are in their stalls, grazing quietly on hay.
EXT. FREIGHTER – LATER
Harry and Sr. Grande lounge in comfortable deck chairs as the ship sails south.
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
A private jet lands.
INT. AIRPORT CUSTOMS – DAY
Miguel, still bandaged and taped, waits while his bag is searched. The CUSTOMS INSPECTOR eyes the sinister-looking Miguel with suspicion.
CUT TO:
EXT. BUENOS AIRES HARBOR – DAY
Sr. Grande's horse transport freighter enters the harbor and approaches the docks.
LATER
As Harry and Sr. Grande walk down the gangplank, they are met by HECTOR BUSTAMENTE. They embrace warmly.
SENOR GRANDE
Mi buen amigo, Hector! How good to see you! I want you to meet Coronel Harry Swain, a true caballero!
Harry is apprehensive. Hector eyes him suspiciously.
HECTOR
The famous soldier of fortune and air pirate? How is my Mustang?
HARRY
… Uh –
SENOR GRANDE
Your magnificent aeroplano is in service to the Republica de Santa Fruta, and is well-maintained at this moment, Hector.
HECTOR
Renaldo, what are you doing with my Mustang? What could you possibly -
SENOR GRANDE
Coronel Swain has commenced operations against the rebels, Hector.
HECTOR
Rebels? In Santa Fruta?
SENOR GRANDE
It's true!
Harry raises an eyebrow. Hector notices.
HECTOR
Senor Swain, why did you take my Mustang, and who is this Lorenzo, who has paid me for it?
Sr. Grande pretends not to be interested.
HARRY
Well…
(clears throat)
Behind them approaches ROBIN LEACH and his entourage.
ROBIN LEACH
Hector! Hector Bustamente!
Close-up of Harry's face as his brain registers that unmistakable voice.
CUT TO:
EXT. SANTA FRUTA JAIL – DAY
INT. JAIL – DAY
Miguel sits on his cot behind bars. In the office, the customs inspector and the CHIEF OF POLICE examine paperwork.
CHIEF OF POLICE
Actual name, Miguel Zapata, suspected assassin for the narco-king, Alfred Lorenzo, of Miami. Good work, Jaime.
(to Miguel)
Good news, Matador! A free boat ride back to los Estados Unidos!
MIGUEL
A boat ride! When?
CHIEF OF POLICE
What's your hurry? Enjoy Santa Fruta!
Miguel smolders in anger, sitting on his cot behind bars.
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
Miguel's jet takes off without him, watched by Santa Fruta POLICEMEN.
CUT TO:
INT. LORENZO'S CONDO – DAY
Lorenzo holds his cell phone to his ear.
LORENZO
Arrested! What the hell is going on in Santa Fruta?!
CUT TO:
EXT. RED RIVER – DAY
Leroy's pickup truck crosses the bridge from Oklahoma into Texas.
EXT. AIRFIELD – DAY
Leroy drives among planes and hangars, looking for the office.
INT. AIR CHARTER OFFICE – DAY
The MANAGER of the charter service stands behind the counter. A television is on in the customer lounge.
MANAGER
Can I help you?
LEROY
Hey. I'm a flight mechanic. And I'm certified.
MANAGER
Let's see your certificates. Got your own tools? Jet engines?
Leroy nods.
CUT TO:
EXT. JUNGLE – NIGHT
In the Santa Fruta jungle, Rafaela and MEMO, the student/rebel, watch the new drug factory. Gradually, the noise of an airplane overhead. They look up.
IN THE SKY
A twin-engine cargo plane flies through the night.
INT. CARGO PLANE – NIGHT
The PILOT and CO-PILOT look down in the inky darkness. Suddenly a light blinks on and off. The pilot corrects course and descends.
The rear door/ramp drops open. Twenty large canvas bags are ready. The KICKER waits until the green light comes on and starts pushing the bags out the back, into the night.
EXT. JUNGLE – NIGHT
Rafaela and Memo watch as the twenty bags full of coca leaves drop through the trees near them. The plane keeps going north. Drug workers appear and retrieve the big bags, dragging them to the factory.
Rafaela and Memo withdraw.
LATER
Rafaela and Memo reach their horses and mount up. They ride a dangerous path through the Santa Fruta mountains as the sun is coming up.
CUT TO:
EXT. B.A. POLO FIELD – DAY
The polo teams of Santa Fruta and Bustamente are evenly matched. The score is tied, 5 – 5. Harry, now wearing the number 3 jersey, hits the ball up to Sr. Grande, wearing number 1, who scores. Robin Leach watches and his DIRECTOR supervises the CAMERAMAN.
ROBIN LEACH
Oh, that was a good one!
Got it.
DIRECTOR
LATER
The polo players relax with Robin Leach.
ROBIN LEACH
Hector, we'd like to show the people your fabulous rancho!
HECTOR
Of course, Robin.
Leach exits with his crew. Hector eyes Harry and Sr. Grande.
SENOR GRANDE
So, Hector! What do you think of my secret weapon?
HECTOR
What is your rating in America, Harry?
Pardon?
HARRY
HECTOR
Your rating. Your handicap? How many goals?
SENOR GRANDE
Harry is not yet rated, Hector. What would you estimate?
HECTOR
Not rated? But you play very well! How can this be?
SENOR GRANDE
Harry is new to the game. How would you place him?
HECTOR
Renaldo, you and I are both 4s. If Harry maintains this level of play, he would probably be rated as a 7 or 8 by next year. Depending on his horses.
SENOR GRANDE
Harry rides my horses.
HECTOR
And he flies my Mustang. I must have it, Renaldo. I cannot believe you truly have a problem with rebels that can be solved with a P-51! Rebels!
Harry frowns slightly in agreement.
SENOR GRANDE
They now know that we mean business! And why do you require such a machine?
HECTOR
It has been my passion for years to own that machine. My obsession! And then – poof! She is gone!
SENOR GRANDE
Hector, my promise: As soon as Harry puts an end to the rebellion, you may have it!
HECTOR
But what if the rebels shoot it?
EXT. JUNGLE DRUG FACTORY – DAY
The drug workers dump the bags of leaves into the shallow, plasticlined pit. They pour in buckets of acetone, acid and ether. Wearing rubber boots, they wade through the pit, crushing the leaves and the concoction turns milky white. They keep plodding and churning.
The rebel/students' eyes widen as they see this sloppy process.
MEMO
(whispers)
Acid? Acetone?
LATER
The workers extract the milky fluid and strain it through cheesecloth into buckets. Then they pour the fluid onto large plastic sheets in the sun and let it dry.
LATER
Rodolfo examines the dried cocaine on the plastic.
CUT TO:
EXT. B.A. HARBOR – DAY
Robin Leach chats with the polo players as horses are lead out of vans.
ROBIN LEACH
Hector, we have a wonderful segment for next week's special! Thank you for your hospitality! You literally saved my show, which will now be a spectacular success!
HECTOR
The pleasure was all mine, Robin.
Hector waves as Harry and Sr. Grande and horses board the freighter.
EXT. FREIGHTER – DAY
Sr. Grande and Harry stand by the railing and wave at Hector.
SENOR GRANDE
Hector, my compadre! Your beautiful aeroplano will be fine! You shall have it soon!
Hector waves hopefully as the freighter moves away from the docks.
HARRY
Technically, Senor, the aeroplano is no longer his…
Harry frowns.
SENOR GRANDE
Ah, but spiritually, morally, it is. Tell me, Harry – who is this person who was forced to pay for it?
HARRY
Senor, that requires a long story…
SENOR GRANDE
Muy bien, Harry. We have a long ride back to Santa Fruta.
EXT. OPEN SEA – DAY
The freighter makes its way north to Santa Fruta.
CUT TO:
CUT TO:
EXT. CHARTER SERVICE – DAY
Leroy works on a corporate jet. His portable radio plays country music.
LATER
Leroy turns over paperwork in the front office. The TV plays in the customer lounge. The manager hands him a work order.
MANAGER
Your next project is to check the fuel metering on the Falcon…
Leroy nods.
CUT TO:
EXT. SANTA FRUTA COFFEEHOUSE – NIGHT
Rafaela meets with the rebel/students. Memo hands her a note.
MEMO
Senorita, the new cocaine lab is at this location. They have made a large quantity! You must tell your papa!
Rafaela looks at the coordinates and sighs.
RAFAELA
He's playing polo in Argentina with Coronel Harry.
MEMO
The police, then?
RAFAELA
That's for Papa to do, not me. Oh, that Rodolfo! How could he do this to Papa! When is the next lot of bananas being shipped?
MEMO
They are cutting bananas now.
Rafaela nods and sighs again.
CUT TO:
EXT. POLO FIELD – DAY
Harry practices, riding around at a slow canter, knocking the ball. Rafaela drives up in her Ferrari. Harry sees her and rides over.
RAFAELA
And how was your trip to Buenos
Aires, Coronel Harry?
HARRY
Beyond my wildest dreams!
RAFAELA
That's nice. Since you were gone, the rebels have increased their activity.
HARRY
They have?
RAFAELA
May we go for another ride in the aeroplano? I can show you again.
Sure.
HARRY
Rafaela starts up and leaves with a wave. Harry stares as she goes.
CUT TO:
EXT. JUNGLE DRUG LAB – DAY
Rodolfo, smoking a cigar as he checks the large stack of plasticwrapped cocaine bricks, cocks an ear. In the distance is the unmistakable whine of a Packard Rolls-Royce V-12 engine. His eyes narrow as he looks toward the sky through the leafy canopy. The sound gets louder. His workers nervously look upward also.
RODOLFO
That hijo de puta! Everybody run!
The engine noise increases into a banshee wail. Suddenly, the jungle erupts with hundreds of rounds of fifty-caliber ammunition hitting the earth, which find their way to the stack of cocaine bricks. The bricks disintegrate in huge clouds of white dust. The shooting stops and the engine noise recedes.
The workers stagger out of their hiding places, to inspect the total destruction of the stack. Rodolfo, covered in white dust, bites the end off his cigar.
RAFAELA (VO)
As they say in America – Mission Accomplished! Well done, Coronel Harry! Back to the polo fields!
HARRY (VO)
Yes, ma'am. If you're happy, then I'm happy.
RAFAELA (VO)
I think I shall be very happy, Coronel Harry. Will you take me to dinner to celebrate?
HARRY (VO)
Yes, ma'am.
EXT. LORENZO'S MANSION – NIGHT
LORENZO (VO)
That son of a bitch!
CUT TO:
CUT TO:
INT. CHARTER HANGAR – DAY
Leroy finishes work on an airplane engine. He goes to the office with his work order.
OFFICE
Leroy hands in his completed work order. On the TV in the lounge:
ROBIN LEACH (VO)
So, join me tonight for a special edition of Lifestyles! I'll take you to Buenos Aires, home of some of the most magnificent lifestyles on Planet Earth! From high-goal polo to Formula One racing, Buenos Aires has it all – and then some!
At the mention of the word "polo," Leroy glances at the TV.
INT. MOTEL ROOM – NIGHT
Leroy lies on his bed, eating a pizza, watching the TV.
ON THE TV
ROBIN LEACH (VO)
Ah, yes! It's champagne wishes and caviar dreams from glorious Buenos Aires, Argentina! Tonight we'll be the guests of cattle baron Hector Bustamente. We won't be roping and branding on his huge rancho, but rather enjoying the good life of glamorous night clubs, the race tracks and the polo fields that Buenos Aires has to offer. Hector Bustamente is of course famous for his sponsorship of Formula One driver Luis Dax, who finished second last year in the world championship. Most people don't know of Hector's other two loves: flying and playing polo.
Hector climbs in a carbon-fiber glider, which is then pulled off the ground by an airplane. Hector is seen at altitude, in total silence.
ROBIN LEACH (VO)
(cont'g)
Hector holds the South American record for flying the farthest without power…
Hector, mounted on a polo pony, leans over to speak to his groom.
ROBIN LEACH (VO)
(cont'g)
The cognoscente know that Argentina is the world capital of high-goal polo, and Hector Bustamente sponsors one of this country's most successful teams, El Busto. We were lucky to be in Buenos Aires for a special match between El Busto and the visitors from the Republica de Santa Fruta, in the Caribbean.
CLOSE UP
Harry cuts the ball up to Sr. Grande, who scores.
ROBIN LEACH (VO)
(cont'g)
The surprise player in this match is an American mystery-man, Colonel Harry Swain, seen here making a nice play for his Santa Fruta team, which was only just beaten by El Busto in the final minute of play, thanks to El Busto's star player, Hugo Gracida, one of Argentina's ten-goal players… Next, a tour of Hector's magnificent rancho: you won't believe your eyes…
Leroy stares at the screen in disbelief.
LEROY
Santa Fruta?
INT. CHARTER SERVICE – DAY
The manager stares at Leroy.
MANAGER
A leave of absence? You just got here!
CUT TO:
CUT TO:
EXT. HOUSTON DOCKS – NIGHT
Leroy, holding his suitcase, looks up at the name of a freighter:
"Yellow Bird" Santa Fruta
He walks up the gangplank and boards the freighter.
EXT. SHIP CHANNEL - DAY
The Yellow Bird heads down the Houston Ship Channel for the Gulf of Mexico, to the tune of "Yellow Bird."
CUT TO:
INT. EXCELSIOR HOTEL – NIGHT
Sr. Grande is at the head of the banquet table, at which are seated dozens of well-dressed banana workers. Seated to his right is Rodolfo. Sr. Grande stands. The workers go silent.
SENOR GRANDE
Companeros, tonight we honor our good friend, Sr. Rodolfo Fierro, on the twenty-fifth year of wonderful service to Santa Fruta! His great knowledge of the cultivation of the banana has made us the envy of the agricultural world. We all owe Sr. Rodolfo Fierro the highest debt of gratitude! He has made it possible for you to be the highest-paid cultivators of any crop in the world. Rodolfo, I don't know what I would do without you!
The banana workers applaud. Rodolfo bows his head humbly.
CUT TO:
EXT. POLO BARNS – DAY
Harry and Rafaela mount their horses. A GROOM attaches saddle bags to Rafaela's saddle.
RAFAELA
Thank you. Harry, do you feel up for a longer ride in the mountains? I prepared a picnic lunch for us…
HARRY
Sounds great, Rafaela.
They head out of the stables for the hills.
EXT. HILLY TERRAIN - DAY
In rougher country, Harry follows Rafaela up the hills.
EXT. MOUNTAINS – DAY
Rafaela's horse leads Harry's as they negotiate the narrow path along the ledge. Harry looks down with concern. Then he looks around at the mountain tops.
HARRY
Say, Rafaela – this looks familiar.
LATER
Rafaela and Harry relax on the grass, eating their picnic lunch. The horses graze quietly near them.
RAFAELA
Would you like to view the results of our latest air raid?
Harry frowns and nods reluctantly.
LATER
Rafaela leads Harry into the jungle. They tie their horses and walk into the gloomy area. Harry glances at the torn-up earth and plastic sheets and the white dusty coating still visible.
HARRY
Nobody home. No dead bodies, thank God. What's this stuff, I wonder?
Rafaela bites her lip.
RAFAELA
It's cocaine, Harry.
Harry stares at the white dust.
CUT TO:
EXT. MOUNTAINS – DAY
Harry and Rafaela ride down the mountain trail. Harry is deep in thought.
CUT TO:
EXT. SANTA FRUTA DOCKS – DAY
The Yellow Bird is berthed. Longshoremen immediately begin loading bunches of green bananas.
HARRY BELAFONTE (VO)
Day, me say day, me say day, me say Daylight come and me wan' go home.
Day-o! Day-ay-ay-o! Daylight come and me wan' go home day, me say day, me say day-o
INT. YELLOW BIRD – DAY
Leroy wakes up in his bunk, stretches and looks out the porthole.
LEROY
Well, Santa Fruta at last.
EXT. YELLOW BIRD – DAY
Leroy makes his way for the gangplank as tons of bananas are being loaded in the hold.
HARRY BELAFONTE (VO)
Work all night on a drink of rum! Daylight come and me wan' go home Stack banana till de mornin' come! Daylight come and me wan' go home.
Leroy heads down the gangplank but steps back as he sees Miguel being led up it, in handcuffs. Two policemen hustle him toward the hold. Miguel looks back at Leroy in sudden recognition. Startled, Leroy shakes his head in wonder.
Small world!
LEROY
He heads down the gangplank.
CARTOON MAP OF CARIBBEAN
A big yellow dotted line marks the Yellow Bird's slow route to Houston.
CUT TO:
EXT. POLO FIELD – DAY
Harry rides toward the barn after practicing. He spots Leroy.
HARRY
Well! Small world!
LEROY
That's what I was just sayin', when I ran into one o' your slop shooters on the cruise ship.
HARRY
One of the hard guys? What cruise ship?
LEROY
The SS Banana Peel. He was gettin' on when I was gettin' off. The cops put him down below, so he's ridin' home with the spiders.
HARRY
Wow. He was probably here to get me.
LEROY
Okay. There's a whole bunch of stuff that I don't know about, right?
Uh… Yeah.
HARRY
LEROY
I could say the same! That hard guy? I nearly killed him.
(thinks)
Well, I was near Soapsuds when she nearly killed him.
HARRY
Soapsuds! Who's got the horses? What are you doing here, anyway? How did you find me?
Leroy does a perfect imitation of Robin Leach.
LEROY
"Champagne wishes and caviar dreams!"
Aren't you the American man of mystery, Colonel Harry Swain?
HARRY
You mean I was on television?
LEROY
Bigger'n Dallas. Oh, and Pete's got the horses. You better send him some money for hay. Exactly why are the hard guys on your butt?
HARRY
A little matter of GTA.
LEROY
--Grand theft auto?
Airplane.
HARRY
LEROY
Airplane. What was I thinking… What kind of airplane?
Harry turns his horse for the barns.
HARRY
I'll show you.
Leroy follows him toward the barns. He looks around at the perfectly manicured polo grounds and stadium and barns and sighs.
LEROY
Guy's unbelievable.
EXT. HANGAR – DAY
Leroy looks at Jose's Strategic Air Command sign.
(cont's)
LEROY
Cool!
INT. HANGAR OFFICE – DAY
Jose comes to the counter and waves at Harry.
HARRY
Jose, this is Leroy. He wants to see the plane.
Sure.
JOSE
CUT TO:
They all go into the hangar. Leroy stops and stares, his mouth open.
LEROY
Holy crap, Harry. That's a P-51.
HARRY
D model.
LEROY
Do you know how much that thing's worth?
HARRY
Jose, get us all some beers?
JOSE
Si, jefe!
HARRY
Yeah. Two million dollars.
LEROY
What?!
HARRY
That's why the hard guys are after us. Lorenzo had to pay for it.
LEROY
US? What do you mean, they're after US?!
HARRY
Well, didn't you almost kill that one guy?
LEROY
But I didn't know why I—- that was Soapsuds!
Uh, huh.
HARRY
EXT. SANTA FRUTA AIRPORT – DAY
Lorenzo's private jet comes in for a landing.
GATE
Leroy swallows.
Jose exits.
Leroy chokes.
CUT TO:
The jet taxis up to a stop. The door opens. Lorenzo gets out and heads for immigration.
INT. IMMIGRATION OFFICE – DAY
The immigration inspector examines Lorenzo's passport. He looks at Lorenzo sadly and shakes his head.
What!
LORENZO
CUT TO:
INT. SANTA FRUTA JAIL – DAY
Lorenzo sits on the same cot that Miguel sat on, in the same cell.
CUT TO:
EXT. SANTA FRUTA DOCKS – NIGHT
A freighter is berthed at the banana docks. Crews load tons of green bananas.
HARRY BELAFONTE (VO)
Come, Mister tally man, tally me banana Daylight come and me wan' go home Come, Mister tally man, tally me banana Daylight come and me wan' go home.
The Santa Fruta cops hustle Lorenzo aboard in handcuffs.
HARRY BELAFONTE (VO)
(cont'g)
Lift six foot, seven foot, eight foot bunch Daylight come and me wan' go home Six foot, seven foot, eight foot bunch Daylight come and me wan' go home.
Lorenzo is taken down in the hold and made to sit with the bananas.
HARRY BELAFONTE (VO)
(cont'g)
Day, me say day-o Daylight come and me wan' go home Day, me say day, me say day, me say day... Daylight come and me wan' go home.
DAWN
The loaded banana boat pulls away from the dock and heads into the sunrise.
HARRY BELAFONTE (VO)
(cont'g)
Day-o! Day-ay-ay-o! Daylight come and me wan' go home.
CARTOON MAP OF CARIBBEAN
Dotted line starts out from Santa Fruta.
EXT. EXCELSIOR HOTEL – NIGHT
Rafaela gives her car to the valet and goes inside.
INT. DINING ROOM – NIGHT
Harry and Rafaela have dinner.
RAFAELA
Harry, I'm so worried for Papa. He just can't take the shock, I'm sure of it.
Harry frowns and nods.
HARRY
I'm trying to adjust, myself. So you're actually one of the rebels?
RAFAELA
Oh, Harry – there are no rebels! I told Papa there were rebels because all banana republics have rebels. I knew he would rather believe about rebels than that his trusted majordomo is betraying him.
HARRY
Well – there's got to be a better way to deal with this than you and me shooting up the countryside. We're lucky we didn't kill anyone! How could I live with that? How could you?
Rafaela quickly nods in sympathy.
RAFAELA
No, of course, we couldn't. But, Harry – Santa Fruta must never earn the reputation of a cocaine country! Do you agree?
RAFAELA
(cont'g)
Everything we love here would disappear! If cocaine were ever found in the ships,
Harry nods.
CUT TO:
Papa would be held responsible. His disgrace would kill him! So far, we have prevented any cocaine from being smuggled. Due entirely to your brilliant flying, of course.
HARRY
(thinks)
Uh, huh. I think there was a little more to it than my flying.
Why don't I just talk to Rodolfo?
RAFAELA
I think he hates you with a purple passion! It could be very dangerous!
CUT TO:
EXT. BANANA GROVE – DAY
Harry rides slowly through the banana trees. He sees a group of WORKERS and rides up to them.
HARRY
Anyone seen Rodolfo?
The workers point. Harry nods and rides in that direction.
LATER
Rodolfo sees Harry coming and gets out of his truck. Harry rides up to him and dismounts so Rodolfo doesn't have to look up at him.
RODOLFO
Do you look for me, Coronel?
Harry nods as he ties his horse to the truck.
HARRY
Let's sit down somewheres.
Rodolfo walks to the shade of a banana tree and sits down on the ground. Harry follows him and sits.
(cont'g)
HARRY
Banana business good?
RODOLFO
It's good, Coronel.
HARRY
Cocaine business is bad, Rodolfo.
Rodolfo looks away.
(cont'g)
Yeah, I know. You don't like me and I've wrecked all your stuff so far. I can keep on wrecking it but someone's gonna get hurt and I don't want that, believe me. I don't know why you're willing to destroy Senor Grande and really all of Santa Fruta with that garbage. For money?
Rodolfo looks down at the ground.
(cont'g)
HARRY
Now, I have the idea that you and I have something in common. A creep from Miami named Lorenzo? Yeah. As much as I like it here, Rodolfo, I know there's really no need for the aeroplano, the coronel and all the flying. I know that. I'd like to stay here, of course, but there's really no need for me if you stop doing what you're doing and stick with bananas. Senor Grande doesn't know what's going on and I sure as hell don't want to tell him. But I promise that I will keep blasting your stuff to hell if you don't stop. Think about it, Rodolfo.
Harry gets up and goes to his horse and mounts up. Rodolfo stays on the ground until Harry rides off.
CUT TO:
INT. HANGAR – DAY
Leroy and Jose work on the P-51. Harry walks in.
Hey, Colonel!
LEROY
HARRY
Hey, smartass.
LEROY
What's the TBO on this dude?
HARRY
600 hours.
LEROY
Uh, huh. And how many hours do we have on it since the last overhaul?
HARRY
About 200.
Runnin' okay?
LEROY
HARRY
You could say that.
LEROY
When you gonna take me for a ride? I always wanted to blow up a train or sink a ship with one o' these. Or get in a dogfight!
HARRY
Let me know when them Jap Zeroes are spotted, we'll go on up and get 'em.
LEROY
You were born too late, Colonel.
Rafaela drives up in her Ferrari. They both look at her as she waves.
HARRY
Nope. I was born too early.
Harry gets in the passenger seat. They speed away.
LEROY
Guy's unbelievable.
CARTOON MAP OF CARIBBEAN
The dotted line comes to a stop near Cuba.
CUT TO:
CUT TO:
EXT. OPEN SEA – DAY
The banana freighter lies low in the rolling swells as a large yacht comes alongside.
ONBOARD THE FREIGHTER
Lorenzo pays the CAPTAIN a wad of cash and slaps him on the back. He goes down the gangplank to a motorboat and boards it. The motorboat takes him to the yacht, which he boards.
ONBOARD THE YACHT
Miguel greets Lorenzo quietly. The SKIPPER also greets Lorenzo.
LORENZO
You know Santa Fruta?
Sound of BIG CRASH
Silence.
Now we hear the two men wading through the water. Finally we see them plodding through the waves and sand, up onto the beach.
CUT TO:
EXT. GRANDE ESTATE – NIGHT
SKIPPER
I been there once.
LORENZO
I'm not talking about driving up to the customs shed, like tourists, you know? I'm talking about getting us in there on the QT! And back out again! You dig?
SKIPPER
We're gonna need a bigger map, then.
LORENZO
Fine! Get a bigger map.
What the—
CUT TO:
EXT. YACHTING STORE – DAY
The skipper buys a map of Santa Fruta from a store on another island. He exits store and boards the nearby yacht.
CUT TO:
EXT. YACHT – NIGHT
The yacht lies anchored a half-mile off the coast of Santa Fruta.
Lorenzo and Miguel, dressed in dark clothes, carrying knives and handguns, board the motorboat. Lorenzo takes the wheel and accelerates toward the beach in the moonlight.
CUT TO:
EXT. SANTA FRUTA BEACH – NIGHT
Looking out to the water, we see nothing but darkness. But we hear the sound of the motorboat approaching. The engine gets louder and we expect to see it any second. Suddenly
Look out!
MIGUEL (OS)
LORENZO (OS)
Lorenzo and Miguel sneak through the shadows and up to the main house. They peek through several windows.
INT. RODOLFO'S SUITE – NIGHT
There is a tapping at Rodolfo's window. Rodolfo, reading in an easy chair, gets up and goes to the window. Startled by the two bedraggled dark figures, he opens the window.
LORENZO
Rodolfo! Let us in!
Rodolfo points to the door. They go to it and enter.
RODOLFO
What are you doing here?
LORENZO
Whaddya think, Rodolfo? What the hell's happened to our program? Where's that Okie cowboy son of a bitch? Where's my two million dollar airplane?
RODOLFO
Well, the aeroplano is at the aeropuerto. The cowboy son of a bitch lives at the Excelsior Hotel. Why are you both wet?
LORENZO
We had an accident. Tell me what has happened to our program!
RODOLFO
(shrugs)
Is as I said on the telefono, Senor. All is destroyed by the cowboy son of a bitch and the aeroplano.
LORENZO
Uh, huh. Okay. Take us to the hotel now, Rodolfo. We'll deal with that problem tonight! Then we'll be back in business.
Rodolfo looks at them and finally nods solemnly.
CUT TO:
INT. PICKUP TRUCK – NIGHT
Rodolfo drives the two men into town. With the Excelsior in the background, he drops them a block away.
(cont'g)
LORENZO
What's his room?
RODOLFO
He is on the top floor.
LORENZO
That rotten son of bitch!
RODOLFO
How are you going to get to him?
LORENZO
We'll get to him, don't worry.
RODOLFO
Well, good luck.
LORENZO
Yeah, you wait here. This won't take long.
Lorenzo and Miguel head for the hotel. Rodolfo produces his cell phone and looks at it.
CUT TO:
INT. EXCELSIOR HOTEL LOBBY – NIGHT
Lorenzo and Miguel enter the lobby and head for the elevator. Their wet shirttails hide their weapons but they don't look right. At the elevator, Miguel punches the UP button. A CLERK sees them. He leaves the front desk and goes toward the elevator.
CLERK
Good evening, Senores. May I help you?
LORENZO
Yeah. Leave us alone.
The two hoods ignore him. As the door opens, they get in. The clerk does not interfere. As soon as the door shuts, he inserts a key in the control panel and turns it.
CUT TO:
INT. PICKUP TRUCK – NIGHT
Rodolfo watches as a police car drives up to the hotel. He starts the engine and pulls away.
CUT TO:
INT. SANTA FRUTA JAIL – NIGHT
The chief of police is surprised as Lorenzo and Miguel are brought before him.
Sr. Grande frowns.
CHIEF
Again? Your room is ready!
JAIL CELL – NIGHT
Lorenzo and Miguel sit on the same cot in the same cell, together.
CUT TO:
EXT. SANTA FRUTA DOCKS – DAY
A banana freighter is loaded.
HARRY BELAFONTE (VO)
Day-o! Day-ay-ay-o!
CARTOON MAP OF CARIBBEAN
The dotted line heads for Houston.
CUT TO:
CUT TO:
EXT. POLO BARNS – DAY
Sr. Grande puts away his cell phone and sees Harry riding in from practicing.
SENOR GRANDE
Harry! Great news!
Yes, sir?
HARRY
SENOR GRANDE
Hector Bustamente wants to bring the South American Open – our biggest polo tournament, to Santa Fruta! Imagine!
Wow! When?
HARRY
SENOR GRANDE
That is the problem, Harry: in four weeks from now!
HARRY
Four weeks? Why so soon?
SENOR GRANDE
Last year's Open was rained out. A
catastrophe. Hector wants to avoid a repeat of that by beating the rain.
Our weather here is different, also.
There will be teams from all over the world, Harry! The preliminary matches will be held in Buenos Aires, but the Finals will be here. Can we be ready?
HARRY
We'll be ready, Senor Grande!
SENOR GRANDE
Excellent! I have the feeling, Harry, that Hector would like to be closer to his aeroplano, which may be why he graces us with the Finals…
HARRY
Senor, the rebel activity seems to have ended…
SENOR GRANDE
Perhaps, Harry. Perhaps. You would like to return Hector's machine to him?
HARRY
A two million dollar machine is a big responsibility…
SENOR GRANDE
You've found a new mechanic, I hear? A specialist? He is keeping it in fine condition for Hector?
Harry nods.
CUT TO:
EXT. POLO FIELDS – DAY
Preparations are made for the big tournament. The fields are manicured, the sideboards and goalposts are brightly painted.
EXT. SANTA FRUTA AIRPORT – DAY
Preparations are made to welcome the polo crowd. The terminal is brightly painted.
EXT. EXCELSIOR HOTEL – DAY
The hotel STAFF MEMBERS are briefed on the coming influx. The hotel undergoes a sprucing up.
CUT TO:
CARTOON MAP OF THE GULF OF MEXICO
The dotted line goes right up to Houston.
CUT TO:
EXT. HOUSTON DOCKS – DAY
To the tune of "Yellow Bird," the "Yellow Bird" is berthed at the dock. It is followed by the yacht.
Lorenzo confronts the CAPTAIN.
LORENZO
I'll get even with you, you bastard! Why didn't you let us off?
CAPTAIN
The last one who did that for you lost his license! You ain't got enough money to replace mine! Stay away from Santa Fruta, you imbecile!
Shaking his fist, Lorenzo heads for the gangplank, followed by Miguel. They go down the gangplank and head for the yacht.
ON THE YACHT
The skipper wrings his hands as Lorenzo and Miguel come aboard.
LORENZO
Take us to Miami!
INT. SANTA FRUTA COFFEEHOUSE – NIGHT
Memo and Rafaela sit at the table.
MEMO
There is no cocaine being produced, Senorita Grande…
RAFAELA
What about the ones who were involved?
MEMO
They have returned to their normal duties.
Great relief for Rafaela.
CUT TO:
CUT TO:
EXT. BANANA GROVE – DAY
Harry rides through the grove, sees Rodolfo's truck. Rodolfo sees him as he approaches.
Coronel?
RODOLFO
HARRY
Rodolfo, can you spare some more people for the polo grounds? El patron needs them for the tournament.
RODOLFO
Certainly, Coronel.
Harry looks at him steadily, but curiously.
HARRY
Thanks, Rodolfo.
Rodolfo nods noncommittally.
EXT. RAFFERTY SALES – DAY
Lorenzo and Miguel get out of the limo and go inside.
INT. RAFFERTY SALES – DAY
Lorenzo and Miguel barge in. Rafferty looks up from his desk.
LORENZO
Rafferty! Get me another pilot! And another fighter plane!
Startled, Rafferty gets up and goes to the counter.
RAFFERTY
A plane, sure. I don't deal pilots. They're no damn good.
LORENZO
Yeah, tell me about it. Where do I find a hot pilot who'll go to war for me?
RAFFERTY
Go to war for you? In one of those old warbirds?
LORENZO
Yeah! Whatever! Somebody who can kill that Okie cowboy son of a bitch!
RAFFERTY
Midland, Texas. Guy named McGuire. He's crazy enough for what you need.
LORENZO
Find me another hot plane. And get us a ride to Midland, Texas.
Rafferty frowns and starts looking through his paperwork.
CUT TO:
Yep.
LATER
In walks LUKE McGUIRE. He grins at the two hoods, sizing them up.
CUT TO:
EXT. MIDLAND AIRPORT – DAY
As Lorenzo's business jet lands, a WWII Messerschmitt Bf-109 takes off.
CUT TO:
INT. CAF OFFICE – DAY
Lorenzo and Miguel enter office. A MAN wearing khakis greets them.
LORENZO
This the Counterfeit Air Force?
Close enough.
CAF MAN
LORENZO
We're looking for a pilot named McGuire…
CAF MAN
(grins)
You CIA?
LORENZO
You tryin' to be funny?
CAF MAN
He's flying right now. Be down in a little while.
He picks up the radio microphone and clicks "send."
(cont'g)
CAF MAN
Luke – coupla gents here to see you.
LATER
Lorenzo looks out window to runway as the Messerschmitt touches down gently. It has a yellow cowl and a big black Iron Cross on the side.
That him?
LORENZO
CAF MAN
'Ow y'goin', mate – orright?
Lorenzo squints at Luke.
LORENZO
What are you – a Limey?
LUKE
Limey? Bloody 'ell! Strine, mate!
LORENZO
What language are you speakin'?
LUKE
(clear English)
Luke McGuire, Darwin, Australia… gentlemen. Now, what nefarious conspiracy are we contemplating?
Lorenzo looks at Miguel and frowns.
LORENZO
What kind of a smartass are you?
LUKE
The highly-paid kind. What's the gig?
INT. BUSINESS JET – DAY
LORENZO
I hate that guy.
MIGUEL
He's the kind you need, if you want to do this…
LORENZO
Whaddya mean, if?
Miguel nods wearily.
(cont'g)
LORENZO
You gotta problem?
MIGUEL
Yeah. Let's see… You dropped two mill on that airplane. The next one'll be like that. I've had my brains beat out by a horse and been deported on a banana boat twice. And now we're going to attack Santa Fruta.
LORENZO
CUT TO:
No, we're just going to kill a cowboy. You got a better way to do it, you let me know!
CUT TO:
EXT. RAFAELA'S BEACH HOUSE – NIGHT
Candlelight dinner. Rafaela's guest is Harry. Rafaela wears a low-cut gown that shows off her beautiful figure. Harry pretends not to notice.
RAFAELA
Papa is so excited about the polo games. He says it is all due to you.
HARRY
Me? Oh, because of the airplane. We need to give that back to Hector. After the polo games, of course, so--
RAFAELA
The moon is full, Harry.
HARRY
True!
RAFAELA
Let's go swimming.
Before Harry can respond, Rafaela exits to bedroom. She reappears in a revealing swimsuit. She takes Harry by the arm and leads him out the glass door onto the beach.
ON THE BEACH
They stroll through the sand, arm-in-arm.
RAFAELA
(cont'g)
Isn't the water beautiful in the moonlight?
Oh, yeah!
HARRY
RAFAELA
It's very warm, you know.
I'll bet!
HARRY
RAFAELA
I'm going in.
She runs and jumps in the water. Harry stands there, like an idiot.
HARRY
Rafaela, I didn't bring swimming trunks! I don't even own any!
Rafaela peels off her swimsuit and throws it on the beach.
RAFAELA
There! We're even!
Harry sighs as he looks at her in all her glory.
CUT TO:
EXT. RAFFERTY SALES – DAY
Luke McGuire parks his Ford GT in front of the office and gets out.
INT. RAFFERTY SALES – DAY
Luke enters and sees Rafferty, who gets up.
Luke McGuire.
LUKE
RAFFERTY
Oh, yeah – you owe me a commission.
LUKE
Believe you have an airplane for me?
RAFFERTY
Yeah. An airplane and a half.
LUKE
Let's have a look, then.
Luke follows him out the back door.
EXT. RAFFERTY SALES – DAY
On the tarmac is a shiny dark blue Grumman F8F Bearcat fighter. Its wings are folded upward as if on an aircraft carrier in WWII.
LUKE
Hell! You broke it!
Rafferty looks at him, to see if he's serious.
RAFFERTY
Funny. You flown one of these?
Luke climbs up on the wing and goes to cockpit and looks in it.
LUKE
Can't say as I have… But, no time like the present.
He drops in and eyes the checklist taped to the rudder control. He engages the ignition and the huge four-bladed prop starts to rotate and smoke pours out the exhaust as the engine roars to life. The wings unfold and lock in place. Rafferty backs away as Luke revs it up and the Bearcat starts to roll.
ON THE RUNWAY
The Bearcat waits near the end of the runway.
TOWER (VO)
Okay, Bearcat – cleared for takeoff.
LUKE (VO)
Roger that, Tower. I'll be doing a few touch and goes…
TOWER (VO)
Roger, Bearcat. Proceed.
The Bearcat rolls out on the runway and Luke gasses it. He is quickly airborne.
LATER
The Bearcat comes in for a landing in a smooth, gradual descent. Just as the wheels touch, Luke gasses it and up it goes again for another lap.
UP IN THE SKY
The Bearcat is put through its paces. Luke loops and rolls the plane and performs a split-s and Immelmann maneuver, then a hammerhead. He puts the fighter into stall and lets it fall over before he collects it. Then it goes into a dive and at the last moments flares out and lands.
TOWER (VO)
(cont'g)
Bearcat, what do you call that?
LUKE (VO)
It's been called pure genius, but I shouldn't really say.
TOWER (VO)
Yeah, well, we call it a good way to lose your license. Don't do that again.
EXT. RAFFERTY SALES - DAY
The Bearcat is parked at Rafferty Sales again.
INT. RAFFERTY SALES – DAY
Luke looks over the Bearcat's spec sheet.
LUKE
Which guns do I have? .50s or 20mm?
RAFFERTY
You got four .50 caliber machine guns and two thousand incendiary rounds, which the other guy doesn't have. Can't get 20mm.
LUKE
One small problem.
RAFFERTY
Yeah?
LUKE
My range is 1105 miles. Santa Fruta is 900 miles from here. I'm going to need a drop fuel tank. I don't see one on it.
RAFFERTY
That could take a while. Maybe a coupla weeks.
LUKE
I'm in no hurry, mate.
RAFFERTY
Lorenzo is.
LUKE
Then I'd get on it, Mr. Rafferty! I don't think Mr. Lorenzo would like for me to fall in the Caribbean for lack of fuel. Have you a refueling station for me, by the way?
RAFFERTY
Yeah, off Venezuela.
LUKE
That's funny, mate. Four hundred miles south of Santa Fruta? Have to do better than that…
Luke exits. Through the window we see him get in the Ford GT.
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
A jumbo jet lands and taxis to the terminal. The ramp drops and several dozen Thoroughbred horses are led down it. GROOMS mount the saddled polo ponies and lead four others each.
Sr. Grande, Rafaela and Harry meet them on horseback and lead them from the airport to the polo fields, applauded occasionally by curious crowds.
SENOR GRANDE
The horses need to stretch their legs after their plane ride. This is a great day for Santa Fruta, Harry!
HARRY
A great day for me, too! Never thought I'd see something like this, Senor.
Rafaela rides between the two men. She kisses her father and then kisses Harry. Harry is embarrassed in front of Sr. Grande.
RAFAELA
A great day for me, Papa, to be riding with my two favorite men!
Something occurs to Sr. Grande.
SENOR GRANDE
Coronel Harry! Are your intentions toward Rafaela honorable?
Er--
HARRY
RAFAELA
Yes, Papa. Coronel Harry is highly honorable. Believe me. Honorable to an extreme!
SENOR GRANDE
Well, that is fine, then.
Rafaela laughs happily. Harry doesn't know what to say.
CUT TO:
EXT. BEACH HOUSE – NIGHT
Small waves lap gently on the sand. Rafaela's bungalow is lit by flickering candlelight.
INT. BEACH HOUSE – NIGHT
Rafaela pours coffee for Harry, standing next to him.
RAFAELA
What did you say to Rodolfo to make him stop?
HARRY
I said I'd drop a bomb on his truck.
RAFAELA
Seriously, Harry!
HARRY
I can't remember. He's not so bad, really.
Rafaela strokes his face.
RAFAELA
Such an odd soldier of fortune… (pauses)
I love you, Harry.
Harry looks up into her eyes.
HARRY
I must be dreaming. I hope I don't wake up.
RAFAELA
If you get wet and you don't wake up, you'll know it's not a dream. Would you like to go swimming tonight?
Harry thinks about it.
HARRY
You know… I would!
Rafaela takes his hand and he gets up. They go out the glass door to the beach. Rafaela's gown drops and she is naked. Harry's shirt comes off as they walk. Then his shoes and pants. He hops along through the sand, stripping off. By the time they reach the water, he's naked, too.
RAFAELA
Am I a dream?
HARRY
You are a dream, but I'm not dreaming!
CUT TO:
EXT. POLO FIELDS – DAY
Much festivity. The tournament is underway. Santa Fruta plays Camaguey, from Argentina. The scoreboard:
Santa Fruta 6 Camaguey 8
Chukker 6
In the final chukker, or period, Harry blocks a pass from Camaguey and takes it toward the goal. Both his Number 1 (Sr. Grande) and his Number 2 are unable to take a pass from him, so he strikes it three times from deep in Camaguey and takes it all the way to score. The final whistle is blown and Camaguey wins. Sr. Grande joins him as they ride off the field.
SENOR GRANDE
Well, we are spectators for the rest of it. But well done, Harry. What a great day! You know, Hector and El Busto arrive later today.
HARRY
Good old Hector!
SENOR GRANDE
He wants to touch his aeroplano!
I reckon.
CUT TO:
EXT. RAFFERTY SALES – DAY
Rafferty examines the long-range drop tank under the fuselage of the Bearcat. Luke watches.
RAFFERTY
No leaks. Satisfied?
LUKE
She'll be right. Now, you do have a fuel stop arranged for me?
CUT TO:
EXT. DESERTED BEACH – DAY
An old landing craft hits the beach and drops its ramp. Four MEN roll ten forty-gallon drums down the ramp and up onto the beach near a dirt road. All ten drums are placed upright near the road. One of the men places a hand pump and a long hose on one of the drums. They board the landing craft and leave.
CUT TO:
EXT. RAFFERTY SALES
Rafferty fishes a paper from his shirt and gives it to Luke.
RAFFERTY
Yep. Here's where you go.
As Luke studies the directions, a black limo arrives. Out get Lorenzo and Miguel.
You ready?
LORENZO
LUKE
LORENZO
You know where to find him.
Roger, dee.
LUKE
LORENZO
Okay. Bring this thing back in one piece and when I know Swain is dead, you get your money. Two hundred and fifty thou.
Luke nods and climbs onto the wing. He gets in the cockpit and cranks over the twelve-foot propeller. The engine roars to life and the Bearcat rolls toward the runway.
Lorenzo nudges Miguel and they get back in the limo.
RUNWAY
The Bearcat makes its turn onto the runway, accelerates and is airborne.
EXT. CHARTER SERVICE – DAY
As the Bearcat is taking off, Lorenzo and Miguel board the business jet.
CUT TO:
EXT. POLO FIELD – DAY
Hector Bustamente, wearing boots and britches and his team shirt, covered by a long camel hair coat, ascends the steps of the grandstand, only to be greeted warmly by Sr. Grande, who gets up from his box seat. Harry, in a seersucker suit and blue tie, also stands and shakes hands. Rafaela waves from her seat. A polo game is in progress on the field.
Hector glances at the scoreboard. Sr. Grande winks at Harry.
HECTOR
Only the second period? Hmm, Renaldo… Would it be possible for me to have a look at the Mustang? There is some time before my team will be playing…
SENOR GRANDE
Harry? Would you mind showing the baby to the proud father?
Harry nods and allows Hector to lead the way. They board a golf cart and Harry steers it toward the hangar, a half-mile from the field.
EXT. HANGAR – DAY
Harry and Hector drive up to the hangar and go to the office and enter.
INT. HANGAR – DAY
Leroy and Jose are examining the engine. The silver plane gleams in the dim light. Hector stops and gapes.
LEROY
Hey, Colonel.
Harry frowns at Leroy.
HARRY
Leroy, Jose – this is Sr. Bustamente, from Buenos Aires. He knows airplanes.
Leroy and Jose wave politely.
HECTOR
HARRY
Hector, it brought out the larceny in me as soon as I saw it. I had to have it!
HECTOR
This I understand.
LEROY
I always say, The best things in life are stolen!
HECTOR
Is she hard to control?
HARRY
Nothin' to it! Show you anytime.
HECTOR
Thank you, Harry. Well, I must see to my horses. Hasta luego, hombres!
Hector and Harry exit.
LEROY
Okay, Jose – let's crank her up and see how she sounds now. Open the doors!
Leroy climbs up the wing and gets in the cockpit and switches on. The propeller slowly turns and then spins into a roar. Leroy and Jose listen carefully. Leroy warms it up while Jose opens the big doors. Then Leroy revs it up and makes the plane move out of the hangar. He taxis it under some tall trees and spins it around and shuts it down.
You know, Harry. I play polo, which is very exciting, as you know. I own the Formula One team, too. And I fly. But this! This has to be the most exciting machine on earth! At least, to me.
Harry nods.
JOSE
Where you goin'?
LEROY
Just right here. We gotta sweep out the hangar. Pretty dirty in there.
JOSE
Well, you blew it out pretty good! You just wanted to drive it!
LEROY
Okay, it's true. You got me.
CUT TO:
EXT. POLO FIELD – DAY
Harry drives Hector to the barns. Harry answers his cell phone.
HARRY
Okay, will do.
(to Hector)
The umpire is not feeling well. Sr. Grande has asked me to umpire your match. I have to go change.
Hector waves and attends to his horses.
CUT TO:
INT. BEARCAT COCKPIT – DAY
Luke heads south, close to the water, at over four hundred miles per hour.
LATER
Checking his map and GPS, Luke circles the island, does a flyover and lines up on the dirt road.
CUT TO:
EXT. FUEL DUMP – DAY
The Bearcat lands and rolls up to the gas drums. The propeller stops turning. Luke gets out and jumps off the wing. He unscrews a bung and inserts the hand pump. He stretches the rubber hose to the wing and opens the fuel door, inserting the hose. Then he jumps down and starts pumping avgas into the wing.
LATER
Four empty drums are on their sides. The Bearcat's prop starts turning and soon it heads back down the dirt road and into the air.
EXT. NEARBY ISLAND – DAY
At the airport of a neighboring island, the business jet touches down.
EXT. ISLAND HARBOR – DAY
Lorenzo and Miguel board the yacht, which motors out of the harbor.
CUT TO:
EXT. POLO FIELD – DAY
The match between El Busto and Hermosillo is underway. Harry rides a black Thoroughbred as he officiates, wearing the black and white striped shirt of the umpire.
The Number 4 of Hermosillo crosses in front of El Busto's Number 1 in a dangerous move. Harry calls foul by blowing his whistle and stopping play. El Busto is allowed a free shot at the goal. Just as the ball sails through the unguarded goal posts, the sound of the Bearcat fighter can be heard. Harry's attention is on the ball but he can't help glancing at the sound.
The Bearcat can now be seen over Santa Fruta.
CUT TO:
INT. BEARCAT COCKPIT – DAY
Straight ahead is the Excelsior Hotel and downtown Santa Fruta. Luke opens up with all four .50 caliber machineguns and blasts the entire top floor of the hotel. The incendiary rounds start little fires everywhere.
Luke banks the fighter and roars over the airport and we see the hangar and the nearby polo fields below.
CUT TO:
POLO FIELD
Harry spurs his horse for the hangar, galloping all the way. The Bearcat roars low over the polo field, scaring people and horses to death. The plane then climbs almost straight up.
Sr. Grande and Rafaela are terrified by the violence and noise. Heavy smoke pours from the Excelsior in the distance. Hector joins them in their box.
CUT TO:
BEARCAT COCKPIT
Luke goes straight up and then falls over to one side, diving down at the hangar. As he lines up on it, he fires his guns. The hangar is shot to pieces and the Bearcat roars down, almost hitting it. Jose and Leroy can be seen running for their lives. Leroy runs for the trees.
CUT TO:
EXT. HANGAR – DAY
The hangar burns in the background. Leroy gets to the P-51, which is hidden from view from above. He jumps up on the wing and into the cockpit and starts the prop turning. Harry's horse slides to a stop as Harry dismounts in his boots and britches and striped shirt. The horse heads for the barn. Harry jumps up on the wing. Leroy revs the engine.
HARRY
Get outa there, Leroy!
Okay!
LEROY
Leroy jumps out and then into the rear seat as Harry gets in front. Overhead, the Bearcat makes another pass and fires more rounds into the hangar. Harry waits for the Bearcat to pass and then gasses the P-51 from under the trees, toward the runway.
CUT TO:
BEARCAT COCKPIT
Luke sees the P-51 charging toward the runway, and then making the uturn for takeoff. He drops the left wing and dives down to try to intercept the fighter before it takes off. The P-51 is going faster than Luke can bring the guns to bear in his steep dive, but he fires for effect. The incendiary rounds hit a hundred yards behind the Mustang, which gets airborne without being hit.
ON THE GROUND
Incendiary rounds strike behind the P-51 as it roars off the runway.
CUT TO:
P-51 COCKPIT
Harry looks up and in all directions for the Bearcat as he gains altitude. He manages to get his headphones on, as does Leroy.
LEROY (VO)
YEE-HAH! GET 'EM, COLONEL!
HARRY (VO)
Leroy! Stop calling me "Colonel!" And look for that crazy bastard.
LEROY (VO)
Aye, aye, Admiral!
HARRY (VO)
What the HELL is he doin'?
LEROY (VO)
Offhand, I'd say he's tryin' to kill ya. Hey, 2 o'clock, in the sun! Here he comes!
Harry turns and climbs right into the sun and when he lines up on the Bearcat, fires his six machineguns. The planes roar past each other within a hundred feet. Harry inverts and does a split-s to chase the Bearcat, which now is twisting and turning to avoid being hit. Then Luke climbs but Harry follows, holding his fire until the Bearcat is briefly in his sights. He fires just as the Bearcat jigs to the left and misses. He follows Luke into a steep dive toward the polo field.
CUT TO:
GRANDSTANDS
Sr. Grande, Rafaela and Hector are paralyzed with shock as they watch the fighters dive toward the field from six thousand feet, Harry right on Luke's tail.
P-51 COCKPIT
The Bearcat is in and out of the sights but Harry holds his fire, as there are still people and horses on the field. The ground rushes up.
BEARCAT WING
Luke engages the air brakes, huge flaps that extend out and down from the wings, slowing the Bearcat drastically.
P-51 COCKPIT
The Bearcat slows and we shoot past, heading for the ground.
GRANDSTANDS
The P-51 is about to crash but Harry pulls back into a near stall and keeps it off the ground. Luke opens up from behind and incendiary rounds explode in the turf. The spectators scream in fear. The loose horses take off. Empty brass from Luke's four guns litter the field.
SENOR GRANDE
You see, Hector? These rebels are very aggressive!
HECTOR
Coronel Harry made a mistake there, Renaldo! I can't bear to watch!
But he doesn't take his eyes off the dogfight. Rafaela holds her hand to her mouth to keep from crying.
Harry leads the Bearcat away from the polo fields, juking and jiving.
BEARCAT COCKPIT
The P-51 jerks in and out of the gunsights. Luke fires just as Harry flips up into a steep climb and he misses. Harry leads Luke across the beach and over the sea. Just as the P-51 is in the sights, Harry executes a snap barrel roll and ducks away toward the water. Luke's shooting wastes more ammo but he gamely follows Harry's every maneuver.
Harry changes course and heads for the island's mountains.
GRANDSTANDS
HECTOR
Renaldo! Where is Coronel Harry going?
RAFAELA
To the rebels' area!
Hector sees some binoculars in the next box seat. He quickly focuses them and continues to watch in horrified fascination.
P-51 COCKPIT
Harry skims the treetops as he climbs up the mountain range, sliding the fighter left and right. Sporadic gunfire passes by but he is a hard target. He flies through the steep and narrow gorge and rotates ninety degrees for a tight turn around the opening.
BEARCAT COCKPIT
Luke matches Harry's skill sliding around the craggy features. Harry puts his plane in a steep dive on the backside of the mountain range and just as Luke has him, snaps another barrel roll and cuts sharp left as he finishes, his propeller almost hitting the tree tops as he dives down the range. Just as he appears headed for the jungle he pulls into a vertical climb and we shoot underneath the P-51.
P-51 COCKPIT
The fighter goes up and over in a tight loop. As the jungle appears again, Harry looks for the Bearcat.
LEROY (VO)
Eleven o'clock, Colonel! He messed up!
HARRY (VO)
Leroy! See if you can get him on the radio! Find his frequency!
LEROY (VO)
If I get him, what do I say?
HARRY (VO)
Just try to get him! I'll do the talking!
Harry closes the gap and keeps just above the Bearcat. Leroy fiddles with the radio, twisting the dial and calling.
LORENZO (VO)
--taking so long, you limey son of a bitch? You shoulda had him by now!
Leroy is startled.
LUKE (VO)
This bloke's almost as good as I am.
LEROY (VO)
Colonel! Channel Eight! Someone's talking to him!
Harry adjusts his radio just as the Bearcat falls off to the left and then goes into a steep climb back up the mountain range, over the trees.
HARRY (VO)
Hey, you in the Grumman! What is that thing – a Wildcat? Hellcat?
LUKE (VO)
Bearcat, mate!
HARRY (VO)
Oh! No wonder… Hey, who are you talkin' to? And who are you? And what the hell are you doin'?
Luke reaches the top of the mountains and does an inside loop but Harry expects it and follows him up and around again. Luke goes up again but keeps going straight up into the sky and we follow him. The Bearcat is well within the gunsight but Harry doesn't fire. At the top of the climb, Luke lets it drop over into a seemingly out-of-control spin. The Bearcat flutters down slowly and Harry has to pull away to avoid hitting it.
BEARCAT COCKPIT
Luke stops the spin and gets behind the P-51, which ducks and dodges.
LEROY (VO)
Damn, Colonel! He got you again!
HARRY (VO)
Sorry, Leroy. He's pretty tricky!
LORENZO (VO)
Kill him, McGuire – you son of a bitch!
P-51 COCKPIT
Harry inverts the fighter and pulls back, which makes it fall insanely fast toward the jungle. Luke is taken by surprise and overshoots. Harry gets behind him again.
LEROY (VO)
All right, Colonel!
HARRY (VO)
McGuire… Hey, you the Australian? I've heard of you!
LUKE (VO)
Can't say the same, mate.
HARRY (VO)
McGuire – let's go on down to Santa Fruta for a cold beer!
LUKE (VO)
I'll have one in your memory.
Harry holds up two fingers and points to his earphones. Leroy switches to Channel 2.
LEROY (VO)
What, Colonel?
HARRY (VO)
That drug dealer, Lorenzo, is doing this. He's got to be down there, watching. Try to locate him. Back to Channel 8.
LORENZO (VO)
Pull your finger out, you sissy bastard! Get him!
HARRY (VO)
McGuire, how's your ammo holding out? Must be gettin' low!
LUKE (VO)
You should know. Otherwise, you'd have flamed me by now. Right?
The Bearcat jerks upward and wings over, going under Harry and back to the left. Harry goes left, too, and stays behind Luke. He fires off a few rounds past the Bearcat.
HARRY (VO)
Naw – I'm good!
Suddenly, the Bearcat heads through the gorge and back down to Santa Fruta, the smoking Excelsior and hangar now visible again.
LUKE (VO)
Let's play where they can see us!
HARRY (VO)
C'mon McGuire – let's keep this between us!
The Bearcat is quickly over downtown Santa Fruta, now just at the roof tops. Harry can't fire his guns now. Luke flies into the heavy black smoke of the Excelsior fire and briefly disappears. In the smoke he jukes to the right for the first time and Harry goes on by blindly. Out of the smoke he realizes his mistake and goes left and climbs steeply, nearly tearing the wings off the P-51. Leroy groans loudly at the extreme G-force. Incendiary rounds are fired past the plane and can be seen hitting buildings down below, starting more fires. Harry inverts and does a split-s again but the Bearcat follows closely.
Leroy turns around and sees the Bearcat right on their tail.
LEROY (VO)
Turn, Colonel! He's got us!
Harry jerks the rudder hard right. The Bearcat follows closely but no gunfire happens. Immediately the Bearcat disengages and heads north. Harry sees this and follows the fleeing Bearcat.
HARRY (VO)
McGuire! Where do you think you're going? Gonna re-arm and do it again?
There is no answer. The Bearcat keeps going.
LORENZO (VO)
Forget it, punk! Not one dime for you! Get that airplane back to Miami now! You useless punk!
Harry matches the Bearcat's speed.
HARRY (VO)
He's gonna stiff you, McGuire! You're not gonna give him that plane, are you?
(no answer)
I don't want to shoot you down, McGuire. But I will.
Harry fires five tracer rounds from each gun past the Bearcat.
LUKE (VO)
So what's your plan, sport?
HARRY (VO)
Turn around. I know where we can sell that thing.
EXT. SANTA FRUTA AIRPORT – DAY
CUT TO:
The Bearcat lands with the P-51 right behind it. The chief of police waits for Luke to get out and then arrests him. Harry and Leroy climb down and are greeted by Rafaela, Sr. Grande and Hector. Rafaela hugs and kisses Harry. Sr. Grande pats him on the back. Hector rushes to the P-51 and checks for damage. Then he begins to admire the Bearcat.
Harry excuses himself and goes to the police car. He speaks to Luke.
(cont'g)
HARRY
Talk to you later, partner. And hey? Those were my last thirty rounds!
McGuire eyes him suspiciously as he is driven off.
Leroy overhears.
LEROY
You serious? No more ammo?
HARRY
Yeah. But the war's over!
LEROY
What about Lorenzo? Don't you want to get him off your back? He's not gonna quit, you know.
HARRY
Well, we'd have to find him, first…
Jose runs up from the wrecked hangar.
JOSE
Coronel! I heard you on the radio! I think I know where that bad man is! The direction finder indicates he is offshore, that way! On a boat?
Harry looks at Leroy and shrugs.
HARRY
What am I gonna do – throw rocks?
Leroy goes to the P-51 and looks under the belly and the wings. Then he goes to the Bearcat and examines it.
LEROY
How 'bout bricks? Can you fly this thing?
Harry frowns at such a dumb question.
LEROY
(cont'g)
How 'bout this? You go up in the Mustang and find him. By the time you get back, this'll be ready for action.
Rafaela listens and takes Harry's arm as he heads for the P-51.
RAFAELA
You're not forgetting the love of your life, are you, Harry?
HARRY
No, Darling. But I must stop the man who was going to destroy Santa Fruta.
RAFAELA
You're not forgetting the love of your life and your co-pilot on antirebel operations?
HARRY
Okie-dokie, as we say in Tulsa.
Harry helps Rafaela up onto the wing and into the back seat.
RAFAELA
Oh, Harry! Leroy got sick in here!
HARRY
Jose! Bring a towel! Hurry!
LEROY
Jose! Get me a load of bricks!
CUT TO:
P-51 COCKPIT – DAY
From two thousand feet we spot Lorenzo's yacht heading north to the next island, which is some forty miles in the distance. Harry goes down to the water and roars over the yacht at over three hundred mph, rocking it heavily with its slipstream. Harry holds up his headset so Rafaela can see. She puts hers on. He signals the number 8 with his fingers. She adjusts her radio.
HARRY (VO)
Lorenzo! Is that you? It's all over! Time to give up! Head back for Santa Fruta!
The yacht keeps going north.
LORENZO (VO)
Drop dead, you Okie son of a bitch! You're out of ammo, too – am I right?
HARRY (VO)
Yeah, you're right. But I'd still give up, if I were you.
LORENZO (VO)
Then drop dead, sucker!
HARRY (VO)
I'll get back to you.
The P-51 climbs and reverses direction for Santa Fruta.
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
The P-51 lands in the background as Leroy and Jose struggle with cargo netting and bricks under the Bearcat. Sagging in the netting is a ton of bricks. The netting is slung from bomb shackles under the fuselage.
Harry parks the P-51 near the Bearcat and helps Rafaela out. They see Leroy and Jose and approach. Harry eyes the netting and bricks skeptically. Jose struggles to stuff one more brick in the netting.
LEROY
Okay, Jose?
JOSE
Si. Coronel, you are only a few bricks less than a full load!
Harry looks at him.
HARRY
Yeah. Okay, professor – show me how this is gonna work.
Harry and Leroy climb up to the cockpit. Leroy reaches down and indicates the bomb release lever.
LEROY
Pretty simple. Ever dropped bombs before?
HARRY
Hell, no.
LEROY
Then I think you better get real close.
Harry sighs and gets in. He fires up the engine and Leroy jumps down. Rafaela waves and he is rolling. The netting sags and almost touches the concrete as he taxis to the runway. Leroy runs to the smoking hangar and gets on the radio.
LEROY
(cont'g)
Take it easy on the bumps, Colonel! Jose put too many bricks in there!
Harry turns onto the runway and gasses it and is airborne. A few bricks bounce out as he accelerates.
HARRY (VO)
Still got my load?
LEROY
Most of it.
CUT TO:
EXT. OPEN SEA – DAY
Lorenzo's yacht speeds toward the next island and safety. Then the Bearcat roars over at about twenty feet above the yacht. Lorenzo, Miguel and the skipper are shocked witless by the surprise and noise. They stagger around, looking for the plane, which is circling for another pass.
HARRY (VO)
Last chance, Lorenzo! Turn back!
Lorenzo grabs the radio.
LORENZO
Up yours!
HARRY (VO)
You ever see what a brick moving three hundred miles an hour does to a fiberglass boat, let alone to you? I've got hundreds of 'em!
The skipper watches the plane and starts zig-zagging, throwing Lorenzo off-balance.
LORENZO
Go to hell, cowboy! Hey, quit doing that!
The skipper straightens out but keeps looking over his shoulder for Harry.
BEARCAT COCKPIT
Harry lines up on the yacht, which starts zig-zagging again.
HARRY (VO)
I'd bail, if I were you!
ON THE YACHT
The three men look behind them as the Bearcat approaches at three hundred mph, a few feet off the surface. Just before it reaches the yacht, all three men jump overboard.
BEARCAT COCKPIT
Harry's hand does not pull the lever until he is past the yacht.
ON THE YACHT
A hundred yards ahead of the yacht, the bricks hit with explosive force.
The yacht keeps going without the men, who are treading water way behind. It starts to make a big, lazy circle a mile wide.
HARRY (VO)
(cont'g)
Santa Fruta Coast Guard. This Coronel Swain. Three men overboard and in the water. Get a speedboat north of Santa Fruta, oh, about thirty miles. I'll be circling overhead to mark the spot.
SFCG (VO)
Roger that, Coronel Swain!
EXT. SANTA FRUTA AIRPORT – DAY
The Bearcat touches down and taxis to the hangar.
Harry is met by Sr. Grande, Rafaela and Hector, who all embrace him. Rafaela embraces him the longest.
SENOR GRANDE
Harry, I have done as you wished: Hector is now the owner of the aeroplano.
Harry congratulates Hector by shaking hands.
HARRY
Hector, I'll make you a good deal on that Bearcat, too.
HECTOR
Ah! A war trophy? Of course! I thank you for not damaging either one.
SENOR GRANDE
Harry, I have an announcement: I am retiring from the business – on one condition…
CUT TO:
CUT TO:
Lorenzo's yacht, re-christened "The Banana Boat – Santa Fruta," is moored in front of a hotel bungalow at a private dock. Sign over the door:
"Honeymoon Suite"
INT. BUNGALOW – DAY
The living room is festooned with flowers and best wishes from all over. From the bedroom we can hear voices.
RAFAELA (OS)
You will always be Coronel Harry, my love, even if you are now known as Director-General Swain of the Grande Fruit Company!
HARRY (OS)
…But, General Swain… that's got a nice ring to it!
CUT TO:
EXT. SANTA FRUTA AIRPORT – DAY
Luke McGuire and Leroy examine the C-123 cargo plane and its new logo:
THE FLYING FRUITS
Swain & McGuire
"All Fruit, All the Time!"
LUKE
Bloody Jose and his paintbrush...
I like it!
LEROY
CUT TO:
EXT. SANTA FRUTA DOCKS – NIGHT
The "Yellow Bird" is being loaded with bananas. The police arrive with three men, who are hustled aboard.
HARRY BELAFONTE (VO)
Day-O! Day-ay-ay-O!
Daylight come and me wan' go home.
FADE OUT
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The Sport of Kings
THE THRILL OF OWNERSHIP
Imagine the buzz of the crowd swelling into a deafening roar as the runners thunder round the final turn into the finishing straight – and it's your horse leading. Owning a racehorse can be one of the most exciting and rewarding experiences you will ever have.
Being a racehorse owner is a thrill like no other! Although horseracing is known as the "Sport of Kings", this is misleading - owning a racehorse is a lifelong dream of many racing fans, but it doesn't have to remain a dream. The thoroughbred industry welcomes new owners. Read as much as you can about the sport, find a bloodstock agent or trainer you can trust and visit some horse auctions. You may just find the next July Winner!
Is this for me?
Investing in thoroughbred racing may offer exciting business opportunities but it is important to recognize that it is nevertheless of a speculative venture. Before you get involved you need to accept that horses are not machines and there is no "guarantee" to your investment. The risks are high but the rewards both financial and emotional can be substantial. The secret is to find your own comfort range.
What should I consider before buying a racehorse?
It is important to begin by answering the following questions.
What level of financial commitment do I want to allocate to my racing interests?
Determine the total amount you are prepared to invest and then develop a budget which will be allocated to the purchase of your horse/s and forecast monthly expenses. This is usually a good guide in determining the best form of ownership for you.
Do you prefer to invest as an individual or in a group?
Your level of investment should serve as a guide in determining the best form of ownership for you, but you may be the type of person who prefers to take control, assume all the risks and receive all the rewards. Or, do you prefer to spread your risks and share the rewards?
What time period is involved?
In selecting a horse you need to consider whether you are looking for a quick return offered by a horse already in training or are prepared to wait a little longer for a more personal option which allows you to be a part of the horses training from the very beginning?
Types of Ownership
You have two ownership options, namely owning or leasing. Owning entails purchasing a horse from a bloodstock auction, or privately from a trainer, breeder or stud farm.
Sole ownership means that you are responsible for all the costs of owning the racehorse (purchase price, training fees, veterinary bills etc.). This also ensures that you will be the main beneficiary of any stakes earned on races.
Co-ownership means sharing the costs and benefits, the thrill of ownership and the excitement of race days makes this option a popular one for first-time owners. It also allows owners to spread their investment and enjoy an interest in more than one horse
Syndicates consist of between five and 20 people. It's a low cost option and allows owners to invest in quite a number of horses, increasing the chances of having an interest in a winner.
Companies and close corporations can also register with The National Horseracing Authority as owners of racehorses.
Leasing
Leasing a racehorse involves ownership of a racehorse for a set period of time. The horse owner, usually the breeder, leases the horse to an owner or syndicate. The terms of the lease may vary, but is often for a fixed period e.g. three years.
Costs Involved
The purchase price of the horse
The running costs of keeping the horse in training and racing
o Spelling and Training Fees
o Farrier fees
o Routine Veterinary Care
o Insurance
o Race Entry Fees
o Transport
o Jockey Fees
o Ownership Registration Fees
There are a number of cost variables that can change depending on the racing schedule and well-being of your horse.
We recommend that you enter into a formal agreement with your trainer, which clearly sets out what the costs are and what is included in the monthly charge.
Choosing an Agent or Trainer
Thoroughbred horseracing is a team sport. If you're new in the industry, don't try and buy a horse without looking for assistance. In addition to a good horse, the team needs a good trainer. It would be wise to exercise as much care in selecting your trainer and or bloodstock agent as you would in selecting a horse. Consultants can come in various forms, from trainer, bloodstock agent, pedigree advisor, veterinarian to an experienced owner.
Selecting a Trainer
It is a good idea to select your trainer before purchasing your thoroughbred. This is a very important consideration, as he or she can give invaluable advice in the selection and purchasing process. There are training centres around all the major cities in South Africa. In choosing your trainer it is advisable to select one that is based not too far from your home.
You can study the trainers' performance chart and select any of the trainers but there are other factors to consider: Some trainers prefer to run small, quality yards with a minimum band of owners. Although they may not be log-leaders, their percentage of winners to runners is often a good yardstick but bear in mind that some of the smaller yards do not have top stock.
The owner/trainer relationship is probably the most important in racing. So take your time and select the individual that suits your needs and personality.
The RA has developed some minimum standards that are expected from an owner and from a trainer.
It is important that amongst other details you establish the following:
How often should you reasonably expect the trainer to communicate with you?
When do you wish to be consulted?
What are the arrangements for visiting the yard?
Would you like the trainer to attend sales and make purchases on your behalf?
Buying at Auctions
Public Auction – Auction sales offer the widest selection and often assure fair market values for horses. Champion racehorses can come from humble backgrounds, but you are more likely to be found at major sales where yearlings are selected on pedigree and conformation and are the "cream of the crop". A schedule of upcoming sales is available on the BloodStock SA website: www.tba.co.za.
Auction Procedures
Before the Sale
1. Complete a buyers card application for the sale
2. Establish credit facilities with the sales company
3. Review conditions of the sale
4. Meet your consultants (agent and/or trainer) to select your horses.
RacehorseOwnership – An Investment in a Lifestyle
5. Devise a first look list and subsequent short list. The short list will be dependent on the conformation inspection of each horse.
6. Assign responsibilities
Bidding arrangements
Insurance
Post-sale arrangements
During the Sale
1. All horses on the preliminary list should be inspected
2. Inspect your final candidates several times. Do not be afraid to go back for a second and third look.
3. You may wish to have a veterinarian perform a pre-purchase examination and view radiographs (should these be available).
4. Bidding – do not permit yourself to get carried away when bidding
5. Follow your initial plan and stay within your identified budget.
6. Bid only on horses on your short-list, exercise control and stay within the predetermined price limit for the horse.
Post-sales Procedure
Payment
Payment for the purchases should be consistent with the arrangements made with the sales company. Upon payment, buyers will be given a stable release and at a later stage the National Horseracing Authority change of ownership certificate from the sales company.
Successful bidders must make the necessary arrangements for the transport from the sales ground and the board and care of their purchase/s.
Insuring your horse
Insuring your purchase is optional and a number of factors have to be taken into account. Racehorses – move faster and train more vigorously than any other athlete and therefore at a greater potential risk. As such are you happy to carry the risk of your investment yourself?
Selecting a broker is an important decision. Choose a professional, registered bloodstock insurance broker. Once you have taken the decision to insure, you are obliged to ensure that your trainer keeps your broker informed of any illness or injury suffered by the horses and to notify them of any operations e.g. gelding.
What next?
Registration with the National Horseracing Authority
Registering your racing colours:
Every owner has to be registered with the National Horseracing Authority of South Africa. Registration forms can be obtained from either the Racing Association or directly from the National Horseracing Authority.
Racing colours:
Each owner, on the acceptance of his/her application, can visit the NHRA to select his/her individual racing colours. These will be the colours/silks worn by the jockey who will be riding your horse in the race. A selection of available colours will be shown to you but failing you finding a suitable choice, you may design your own racing colours within certain restrictions. These will then be approved by the National Horseracing Authority.
Making up your racing silks:
There are a number of persons who make up racing silks. For contact details please contact your closest racing association.
Registering your horse:
Once application for ownership has been accepted and you have purchased your racehorse, this racehorse has to be registered in either the individual, partnership or syndicate name.
On the successful purchase of your horse, the registration papers will be forwarded to you by the relevant sales company. You have to lodge the change of ownership forms with the National Horseracing Authority.
"This is the thrill of my life!"
Emilio Baisero (2 nd from right) after Pierre Jourdan's victory in the 2009 Emperors Palace Ready to Run Cup.
Racehorse Ownership… An Investment in a Lifestyle
Important Contact Details
| Racing Association | +27 (0)11 683 3220 | [email protected] |
|---|---|---|
| NHRA | +27(0)11 683 9283 | [email protected] |
| Phumelela | +27(0)11 681 1500 | [email protected] |
| Gold Circle (Pty) Ltd | +27(0)31 314 1500 | [email protected] |
| Gold Circle (Pty) Ltd | +27(0)21 700 1600 | [email protected] |
Information supplied by: www.racingassociation.co.za
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MARJAN KRAJNA- ŽIVOTOPIS
Marjan Krajna, rođen 1966. u Zagrebu, diplomirao 1990. na Državnoj ruskoj muzičkoj Akademiji Gnjesinih u Moskvi - odjel za harmoniku, u klasi prof. Viacheslava. Semjonova te dirigiranje u klasi prof. Vladimira Kozuharja .
Bio je stipendist fonda Ive Pogorelića Koncertne direkcije Zagreb.
Dobitnik je brojnih državnih i međunarodnih nagrada.
Nastupao je u brojnim europskim zemljama, Latinskoj Americi, Australiji..... Surađuje sa Simfonijskim orkestrom HRT-a, Zagrebačkom Filharmonijom, Zabavnim orkestrom HRT-a, Tamburaškim orkestrom HRT-a.....
Član je gipsy swing sastava Hot Club Zagreb s Matom Matišićem, Juricom Štelmom.....
Član je instrumentalnog sastava „Zapadni kolodvor" koji prati Rade Šerbeđiju.
Piše aranžmane za komorne sastave i orkestre.
Član je brojnih žirija za soliste, komorne sastave i orkestre.
Dobitnik je Priznanja Ministra prosvjete i športa za izvrsne rezultate u radu s učenicima na državnim natjecanjima.
Dobitnik je specijalne nagrade na "Australian international accordion Championship & Festival" Sydney 2006.
Agencija za odgoj i obrazovanje Republike Hrvatske imenovala ga je voditeljem stručnog vijeća za harmoniku.
Od 1997. ravnatelj je G.Š. Zlatka Balokovića u Zagrebu.
Marjan Krajna, prof.
MARJAN KRAJNA-BIOGRAPHY
Marjan Krajna, was born in 1966th in Zagreb, graduated from the 1990th the Russian State Academy of Music "Gnjesinih" in Moscow - Department of accordion, with prof. Viacheslav. Semjonov and conducting with prof. Vladimir Kozuharj.
He was a visiting scholar fund Ivo Pogorelić Zagreb Concert Management.
He has won numerous national and international awards.
He has performed in many European countries, Latin America, Australia .....
Cooperating with the Symphony Orchestra, the Zagreb Philharmonic, the orchestra entertainment HRT Tamburica Orchestra HRT .....
Member of the gypsy swing band Hot Club Zagreb with Mate Matisic, Jurica Štelma .....
He is a member of instrumental band "West Rail Station" which follows Rade Šerbeđija.
Writes the arrangements for chamber ensembles and orchestras.
He is a member of numerous juries for soloists, chamber ensembles and orchestras.
He has received awards of the Minister of Education and Sports for great results in working with students in national competitions.
He was awarded a special prize at the "Australian International Accordion Championship & Festival" Sydney 2006th
Agency for Education of the Republic of Croatian appointed him the Head of the Professional Council for the accordion.
From 1997. Director of the Music school. Zlatko Balokovic in Zagreb.
Marjan Krajna, prof.
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PREPARATION FOR DEATH
BY
ST. ALPHONSUS MARIA DE LIGUORI Doctor of the Church
>>sequel>>
CONTENTS.
PREPARATION FOR DEATH.
CONSIDERATIONS ON THE ETERNAL TRUTHS.
CONSID.
I. PORTRAIT OF A MAN WHO HAS RECENTLY GONE INTO THE OTHER WORLD .........................
The body on the death bed. The body in the grave.
Let us labor to save our souls.
WITH DEATH ALL ENDS Death deprives us of everything. Glory and power on the death-bed. Let us hasten to give ourselves
II. ............... to God.
III. ................................................SHORTNESS OF LIFE Death comes quickly. The lighted candle at death. Importance of the last moment.
IV..................................................THE CERTAINTY OF DEATH All must die. Every moment we approach death. We should think continually of death.
V. UNCERTAINTY OF THE HOUR OF DEATH The moment is fixed, but it is unknown. We should make up our accounts. We must always be ready.
VI. THE DEATH OF THE SINNER ........ The sinner will seek God at death, but be will not find him. Anguish of the dying sinner. We must seek God when we can find him.
VII. SENTIMENTS OF A DYING CHRISTIAN, WHO HAS BEEN CARELESS ABOUT THE DUTIES OF RELIGION, AND HAS THOUGHT BUT LITTLE OF DEATH .
Sad state of the worldling at death. Desire of the worldling at death. Tardy regrets of a dying person.
VIII.
THE DEATH OF THE JUST
...........
The death of the just is a rest. The death of the just is a victory. The death of the just is the entrance to life.
IX. PEACE OF THE JUST AT THE HOUR OF DEATH
The just have nothing to fear at the hour of death. The just die in a sweet peace. The just in dying have a foretaste of celestial joy.
X. MEANS OF PREPARING FOR DEATH
Not to wait till the last moment. Put our conscience in a good state, and regulate our lives, in. We must detach ourselves from the world.
XI,
VALUE OF TIME
... ..... ..............
Time is a treasure of the earth. Neglect of time. We must profit by the time.
XII. THE IMPORTANCE OF SALVATION
Salvation is our own most important affair. Salvation is our only affair. Failure in saving our soul is an irremediable evil.
XIII. THE VANITY OF THE WORLD .......
The goods of this world are useless. The goods of this world are contemptible. We must work for heaven.
LIFE
XIV. is
A JOURNEY TO ETERNITY
..
Man is a traveller on earth. Man can secure eternal happiness. Man shall go into the house of eternity.
THE MALICE OF MORTAL SIN
XV.
.......
The sinner insults God. The sinner dishonors God. The sinner afflicts God.
XVI. THE MERCY OF GOD .................
God waits for the sinner. God calls the sinner. God receives the sinner with kindness.
XVII. ABUSE OF DIVINE MERCY..........
God is merciful, but he is also just. The sinner
abandoned by God. Unfortunate is he who allows the time of mercy to pass by.
XVIII.
THE NUMBER OF SINS
.............
The measure is determined for each one. The measure is not the same for all. We must always fear.
XIX. THE STATE OF GRACE AND OF DISGRACE WITH GOD. Dignity to which the grace of God raises us. Advantages that the grace of God procures for us. Enmity with God.
XX.
THE FOLLY OF THE SINNER
.....
The large number of fools. Great folly. True wisdom.
XXI.
UNHAPPY LIFE OF THE SINNER;
AND HAPPY LIFE OF
HIM WHO LOVES GOD.........
The world cannot make us happy. Interior torments of the sinner. Happiness of the just on earth.
XXII. THE HABIT OF SIN.................
The habit of sin blinds the soul. The habit of sin hardens the heart. The habit of sin leads to final impenitence.
XXIII. THE DELUSIONS WHICH THE DEVIL PUTS INTO THE MINDS OF SINNERS..............
I will go to confession.—I cannot resist. God is merciful. I am young.—Perhaps.
XXIV. ...........................................
THE PARTICULAR JUDGMENT
The guilty soul before its judge. Nothing will remain hidden. The sentence.
XXV.
THE GENERAL JUDGMENT
..,...
The general resurrection. The valley of Josaphat. The eternal sentence.
XXVI.
THE PAINS OF HELL
..............
The pain of sense. The fire of hell. The pain of loss.
XXVII. THE ETERNITY OF HELL.........
Hell is eternal. The weight of eternity. Eternity is unchangeable.
XXVIII. THE REMORSE OF THE DAMNED The little for which the damned are lost. The little that was required for their salvation. The great good that the damned have lost.
XXIX. HEAVEN.............................. Entrance of a soul into Paradise. Happiness of Heaven. Heaven is eternal.
XXX. PRAYER.. ............................ Efficacy of prayer. Necessity of prayer. Conditions of prayer.
XXXI. PERSEVERANCE.. ,................. Necessity of perseverance.—Means of defence against the devil. We must conquer the world. We must struggle against the flesh. Recapitulation.
XXXII. CONFIDENCE IN THE PATRONAGE OF MARY Power of Mary. Mercy of Mary. Charity of Mary.
XXXIII. ..........................................THE LOVE OF God Love and goodness shown by God to man. God has given himself to us. Love that Jesus Christ has shown in his Passion.
XXXIV...........................................HOLY COMMUNION The Eucharist is a precious gift. The Eucharist is a gift of love. How much Jesus Christ desires to unite himself to us.
XXXV. DWELLING OF JESUS ON OUR ALTARS Jesus makes himself accessible to every one. Jesus gives audience to all at all times. Jesus only wishes to bestow his graces.
XXXVI. THE CONFORMITY TO THE WILL OK GOD Excellence of this virtue. In what we should conform to God's will. Happiness derived from conformity to God's will.
ADMONITIONS TO PERSONS OF ALL STATES WHO DESIRE TO BE
SAVED
...........................................
PROTESTATION FOR A HAPPY DEATH...
HYMN: Mary our Hope
To Mary Immaculate Ever Virgin,
TO HER WHO IS FULL OF GRACE, AND BLESSED AMONG ALL THE CHILDREN OF ADAM:
TO THE DOVE, THE TURTLE, THE BELOVED OF GOD: HONOR OF THE HUMAN RACE, DELIGHT OF THE MOST HOLY TRINITY HOUSE OF LOVE, EXAMPLE OF HUMILITY:
MIRROR OF ALL VIRTUES:
MOTHER OF FAIR LOVE.
,
MOTHER OF HOLY HOPE,
AND MOTHER OF MERCY
ADVOCATE OF THE MISERABLE:
,
DEFENCE O
F
THE WEAK,
BLIND,
PHYSICIAN OF THE SICK
GATE OF HEAVEN
LIGHT OF THE:
:
ANCHOR OF CONFIDENCE
REFUGE,
ARK OF LIFE,
RAINBOW
OF PEACE,
HAVEN OF SALVATION:
STAR OF THE SEA, AND SEA OF SWEETNESS:
ADVOCATE OF SINNERS,
HOPE OF THOSE WHO ARE IN DESPAIR,
HELP
OF THE ABANDONED:
COMFORTER OF THE AFFLICTED
CONSOLATION OF THE DYING,
,
AND
JOY OF THE WORLD:
HER AFFECTIONATE AND LOVING, THOUGH VILE AND UNWORTHY SERVANT, HUMBLY DEDICATES THIS WORK.
AIM OF THE WORK. (THIS SHOULD BE READ.)
OME persons asked me to write a book on the Eternal Maxims, for the use of those who desire to establish themselves in virtue and to advance in a spiritual life. Others requested me to prepare a collection S,
CITY OF
of matter for the sermons of the missions and of the spiritual exercises. Not to multiply books, labor, and expense, I resolved to compose the work in the present form, with the hope that it might answer both purposes. To render it useful as a book of meditations for seculars, I have divided the considerations into three points. Each point will serve for one meditation, and therefore I have annexed to each point affections and prayers. I entreat my readers not to grow weary, if, in those prayers, they always find petitions for the grace of perseverance and of divine love. For us, these are the two graces most necessary for the attainment of eternal salvation.
The grace of divine love is, according to St. Francis de Sales, the grace which contains in itself all graces: because the virtue of charity toward God brings with it all other virtues. Now all good things come to me together with her (Wisd. VII, II) He who loves God is humble, chaste, obedient, and mortified; in a word, he possesses all virtues. " Love," says St. Augustine, " and do what you wish" (Ama, et fac quod vis). They who love God labor to avoid whatever is offensive to him, and seek to please him in all things.
The grace of perseverance is that grace by which we obtain the eternal crown. St. Bernard says that Paradise is promised to those who begin a good life, but is only given to those who persevere. " To beginners a reward is promised, but to him who perseveres it is given;." (De modo bene vivere, s. 6) But this gift of perseverance is, as the Fathers teach, given only to those who ask it. Hence St. Thomas asserts that to enter heaven continual prayer is necessary. And our Redeemer said: We ought always to pray, and not to faint. (Luke XIII, 1) It is because they do not pray for the gift of perseverance that so many miserable sinners, after having obtained pardon, lose again the grace of God. Their sins are forgiven; but because they afterward neglect to ask of God the grace of perseverance, particularly in the time of temptations, they relapse into sin. And although the grace of final perseverance is altogether gratuitous, and cannot be merited by good works; still Suarez teaches that it can be infallibly obtained by prayer: and according to St. Augustine, it may be merited by humble supplication. (De Dono persev. C. 6)
This necessity of prayer I have demonstrated at length in another little work, entitled The Great Means of Prayer. This book, though small, has cost me a great deal of labor. I consider it to be of extreme utility to all sorts of persons; and I unhesitatingly assert that, among all spiritual treatises, there is none, and there can be none, more necessary than that which treats on prayer as a means of obtaining eternal salvation.
To render these considerations useful to preachers who have but few books or little time for reading, I have furnished these considerations with texts of Scripture and passages from the Fathers, which are short, but strong and animated, as they ought to be in sermons. The three points of each consideration will supply matter for one sermon. I have endeavored to collect from many authors the sentiments which appeared to me best suited to move the will, and have inserted several of them expressed briefly, that the reader may select and extend at pleasure those that please him most. May all tend to the glory of God !
I pray my reader to recommend me to Jesus Christ, whether I am living or dead (Now that St. Alphonsus Liguori is a canonized Saint we ask for his intercession); and I promise to do the same for all those who perform this act of charity toward me. Live Jesus, our love, and Mary, our hope !
PREPARATION FOR DEATH;
OR,
Considerations on the Eternal Truths.
USEFUL TO ALL AS MEDITATIONS. SERVICEABLE TO PRIESTS FOR SERMONS.
CONSIDERATION I.
Portrait of a Man who has recently gone into the Other World.
" Dust thou art, and unto dust thou shalt return." — Gen. iii. 19.
FIRST POINT.
The Body on the Death-bed.
ONSIDER that you are dust, and that you shall return to dust. A day will come when you shall die, and rot in a grave, where worms shall be your covering (Isai., xiv, 11). The same lot awaits all, the nobleman and the peasant, the prince and the vassal. The moment the soul leaves the body, it shall go to eternity, and the body shall return to dust. Thou shalt send forth their breath, and they shall fail and shall return to their dust (Ps. ciii, 29). C
Imagine that you behold a person who has just expired. Look at that body still laid on the bed, the head fallen on the chest, the hair in disorder and still bathed in the sweat of death, the eyes sunk, the cheeks hollow, the face the color of ashes, the lips and tongue like iron, the body cold and heavy. The beholders grow pale and
tremble. How many, at the sight of a deceased relative or friend, have changed their life and retired from the world! Still greater horror will be excited when the body begins to putrefy. Twenty-four hours have not elapsed since the death of that young man, and his body has already begun to exhale an offensive smell. The windows must be opened; a great quantity of incense must be used; and, to prevent the communication of disease to the entire family, he must soon be transferred to the church, and buried in the earth. " If he has been one of the rich or nobles of the earth, his body shall send forth a more intolerable stench," («Gravius foetent divitum corpora» In Hexamer. 1. 6, c. 8) says Saint Ambrose.
Behold the end of that proud, of that lewd and voluptuous man! Before death desired and sought after in conversations, now become an object of horror and disgust to all who behold him. His relatives are in haste to remove him from the house; they hire men to shut him up in a coffin, to carry him to the church-yard and throw him into a grave. During life, the fame of his wit, of his politeness, of the elegance of his manners, and of his facetiousness, was spread abroad; but after death he is soon forgotten. Their memory hath perished with a noise (Ps. ix, 7).
On hearing the news of his death, some say, He was an honor to his family; others say, He has provided well for his children. Some regret his death because he had done them some service during life; others rejoice at it because it is an advantage to them. But in a little time no one speaks of him. In the beginning, his nearest relatives feel unwilling to hear his name, through fear of renewing their grief. In the visits of condolence, all are careful to make no mention of the deceased; and should any happen to speak of him, the relatives exclaim, For God's sake, do not mention his name!
Consider that as you have acted on the occasion of the death of friends and relatives, so others will act on the occasion of your death. The living take part in the scene. They occupy the possessions and offices of the deceased; but the dead are no longer remembered— their name is scarcely ever mentioned. In the beginning, their relatives are afflicted for a short time; but they will soon be consoled by the share of the property of the deceased which falls to them.
Thus in a short time your death will be rather a source of joy; and in the very room in which you have breathed forth your soul, and in which you have been judged by Jesus Christ, others will dance, and eat, and play, and laugh as before. And where will your soul then be ?
Affections and Prayers.
Jesus, my Redeemer! I thank Thee for not having taken me out of life when I was Thy enemy. For how many years have I deserved to be in hell! Had I died on such a day or such a night, what should be my lot for all eternity? Lord, I thank Thee; I accept my death in satisfaction for my sins, and I accept it in the manner in which Thou shalt be pleased to send it. But since Thou hast borne with me until now, wait for me a little longer. Suffer me, therefore, that I may lament my sorrow a little! (Job x, 20). Give me time to bewail, before Thou judgest me, the offences I have offered to Thee. I will no longer resist Thy calls. Who knows but the words which I have just read may be the last call for me ? I acknowledge that I am unworthy of mercy. Thou hast so often pardoned me, and I have ungratefully offended Thee again. A contrite and humble heart, O God! Thou wilt not despise? Since, O Lord, Thou knowest not how to despise a contrite and humble heart, behold the penitent traitor who has O
recourse to Thee. For Thy mercy's sake, cast me not away from Thy face. Thou bast said: Him that cometh to me I will not cast out (John vi, 37). It is true that I have outraged Thee more than others, because I have been favored more than others with Thy lights and graces. But the blood Thou hast shed for me encourages me, and offers me pardon if I repent. My Sovereign Good! I am sorry with my whole soul for having insulted Thee. Pardon me, and give me grace to love Thee for the future. I have offended Thee sufficiently. The remainder of my life I wish to spend, not in offending Thee, but only in weeping unceasingly over the insults I have offered to Thee, and in loving with my whole heart a God worthy of infinite love. O Mary, my hope ! pray to Jesus for me.
SECOND POINT.
The Body in the Grave.
ut, Christian soul, that you may see more clearly what you are, follow the advice of St. Chrysostom: "Go to the grave; contemplate dust, ashes, worms; and sigh." 2 Behold how that corpse first turns yellow, and then black. Afterwards, the entire body is covered with a white, disgusting mould; then comes forth a clammy, fetid slime, which flows to the earth. In that putrid mass is generated a great multitude of worms, which feed on the flesh. Rats come to feast on the body; some attack it on the outside; others enter into the mouth and bowels. The cheeks, the lips, and the hair fall off. The ribs are first laid bare, and then the arms and legs. The worms, after having consumed all the flesh, devour one another; and, in the end, nothing remains but a fetid skeleton, which in the course of time falls to pieces; the bones separate from one another and the head separates from the body. They became like the chaff of a summer's threshing-floor, and they were carried away by the wind. B
Behold what man is: he is a little dust on the threshingfloor, which is blown away by the wind.
Behold a young nobleman, who was called the life and soul of conversation: where is he now? Enter into his apartment: he is no longer there. If you look for his bed, his robes, or his armor, you will find that they have passed into the hands of others. If you wish to see him, turn to the grave, where he is changed into corruption and withered bones. O God! that body, pampered with so many delicacies, clothed with so much pomp, and attended by so many servants, to what is it now reduced? O ye saints! who knew how to mortify your bodies for the love of that God whom alone you loved on this earth, you well understood the end of all human greatness, of all earthly delights; now your bones are honored as sacred relics, and preserved in shrines of gold, and your souls are happy in the enjoyment of God, expecting the last day, on which your bodies shall be made partners of your glory, as they have been partakers of your cross in this life. The true love for the body consists in treating it here with rigor and contempt, that it may be happy for eternity; and in refusing it all pleasures, which might make it miserable forever.
Affections and Prayers.
ehold, then, O my God ! to what my body, by which I have so much offended Thee, must be reduced ! to worms and rottenness. This does not afflict me; on the contrary, I rejoice that this flesh of mine, which has made me lose Thee, my Sovereign Good, will one day rot and be consumed. What grieves me is, that, to indulge in these wretched pleasures, I have given so much displeasure to Thee. But I will not despair of Thy mercy. Thou hast waited for me in order to pardon me. The Lord waiteth, that He may have mercy on you (Isa., xxx, 18). B
Thou wilt forgive me if I repent. O Infinite Goodness, I repent with my whole heart of having despised Thee. I will say with St. Catharine of Genoa, " My Jesus, no more sins! no more sins!" I will no longer abuse Thy patience. O my crucified Love, I will not wait till the confessor places the crucifix in my hands at the hour of death. From this moment I embrace Thee; from this moment I recommend my soul to Thee. Into Thy hands, O Lord, I commend my spirit (Ps., xxx, 6). My soul has been so many years in the world, and has not loved Thee. Give me light and strength to love Thee during the remainder of my life: I will not wait to love Thee at the hour of death. From this moment I love Thee; I embrace Thee, and unite myself to Thee ; and I promise never more to depart from Thee, O most holy Virgin ! bind me to Jesus Christ, and obtain for me the grace never to lose him more.
THIRD POINT.
Let us Labor to Save our Souls.
y brother, in this picture of death behold yourself and what you must one day become. "Remember that dust thou art, and unto dust thou shall return." Consider that in a few years, and perhaps in a few months or days, you will become rottenness and worms. By this thought Job became a saint. I have said to rottenness: Thou art my father: to worms, my mother, and my sister (Job, xvii, 14). M
All must end; and if, after death, you lose your soul all will be lost for you. Consider yourself already dead, says St. Laurence Justinian, since you know that you must necessarily die (Lign. Vit. De hum. C. 4). If you were already dead, what would you not desire to have done ? Now that you have life, reflect that you will one day be among the dead. St. Bonaventure says, that, to guide the vessel safely, the pilot must remain at the helm; and in like manner, to lead a good life, a man should always imagine himself at the hour of death. Says St. Bernard, " Look to the sins of your youth, and be covered with shame". "Remember the sins of manhood and weep." "Look to the present disorders of your life; tremble", and hasten to apply a remedy.
When St. Camillus de Lellis saw the graves of the dead, he said within himself: If these return to life, what would they not do for eternal glory ? And what do I do for my soul, who have time? This the Saint said through humility. But my brother, you, perhaps, have reason to fear that you are the fruitless fig-tree of which the Lord said: Behold, for these three years I come seeking fruit on this fig-tree, and I find none (Luke, xiii, 7) You have been in this world for more than three years; what fruit have you produced ? Remember, says St. Bernard, that the Lord seeks not only flowers, but fruits; that is, not only good desires and resolutions, but also holy works. Learn then to profit of the time which God in his mercy gives you: do not wait until you desire time to do good, when time shall be no more. Do not wait till you are told, Time shall be no longer; depart; (Apoc., x,6) the time for leaving this world has arrived; what is done, is done.
Affections and Prayers.
ehold me, O my God ! I am that tree which deserved for so many years to hear from Thee, Cut it down— why cumbereth it the ground?1 Yes; for so many years during which I have been in the world, I have brought forth no other fruit than the briers and thorns of sin. But, O Lord ! Thou dost not wish that I despair. Thou hast said to all, that he who seeks Thee shall tind Thee. Seek and you shall find? I seek Thee, O my God! and wish for Thy grace. For all the offences I have offered to Thee I B
am sorry with my whole heart; I would wish to die of sorrow for them. Hitherto I have fled from Thee; but now I prefer Thy friendship to the possession of all the kingdoms of the earth. I will no longer resist Thy invitations. Dost Thou wish me to be all Thine? I give Thee my whole being without reserve. Thou gavest Thyself entirely to me on the Cross. I give myself entirely to Thee.
Thou hast said : If you shall ask me anything in my name, that I will do (John, xiv, 14). My Jesus, trusting in this great promise, I ask, in Thy name and through Thy merits, Thy grace and Thy love. Grant that Thy grace and Thy holy love may abound in my soul, in which sin has abounded. I thank Thee for having given me grace to make this petition by inspiring the prayer, Thou showest that Thou dost intend to hear it. Hear me, O my Jesus; give me a great love for Thee; give me a great desire to please Thee, and give me strength to do Thy will. O Mary, my great advocate ! do thou also listen to my cry, and pray to Jesus for me.
CONSIDERATION II.
With Death al Ends..
"An end is come, the end is come."—Ezek. vii. 6.
FIRST POINT.
Death Deprives us of Everything.
Y worldlings they only are esteemed happy who enjoy the pleasures, the riches, and the pomps of this world; but death puts an end to all these earthly goods. For what is your life ? It is a vapor which appeareth for a little while (James iv, 15). The vapors B
exhaled from the earth, when raised in the air and clothed with light by the sun, make a splendid appearance; but how long does their splendor last? It vanishes before the first blast of the wind. Behold that nobleman: to-day he is courted, feared, and almost adored; to-morrow he is dead, despised, reviled, and trampled upon. At death we must leave all things. The brother of that great servant of God, Thomas a Kempis, took delight in speaking of a beautiful house which he had built for himself: a friend told him that it had one great defect. "What is it?" said he. "It is," answered the other, " that you have made a door in it." " What," rejoined the brother of a Kempis, " is a door a defect?" "Yes," answered the friend; "for through this door you must be one day carried dead, and must leave the house and all things."
Death, in fine, strips man of all the goods of this world. Oh, what a spectacle to behold a prince banished from his palace, never more to return to it, and to see others take possession of his furniture, of his money, and of all his other goods ! The servants leave him in the grave, with a garment scarcely sufficient to cover his body. There is no longer any one to esteem or flatter him, no longer any one to attend to his commands. Saladin, who had acquired many kingdoms in Asia, gave directions at death, that when his body should be carried to the place of burial a person should go before, holding his windingsheet suspended from a pole, and crying aloud: "This is all that Saladin brings with him to the grave."
When the body of the prince is laid in the grave, his flesh drops off; and behold, his skeleton can no longer be distinguished from others. "Contemplate," St. Basil says, " the sepulchres of the dead, and see if you can distinguish who has been a servant, and who has been a master" (Hom. II, E. B. app). Diogenes was one day seen by Alexander the Great seeking with great anxiety for something among the bones of the dead. Alexander asked him what he was in search of. " I am looking," replied Diogenes, "for the head of Philip your father. I am not able to distinguish it: if you can find it, show it to me." "Men," says Seneca, "are born unequal; but after death all are equal" (Ep. 91). And Horace says that death brings down the sceptre to the level of the spade. In a word, when death comes, the end comes; all ends, we leave all things; and of all that we possess in this world, we bring nothing to the grave.
Affections and Prayers,
y Lord! since Thou givest me light to know that whatever the world esteems is smoke and folly, grant me strength to detach my heart from earthly goods, before death separates me from them. Miserable that I have been ! How often, for the miserable pleasures and goods of this earth, have I offended and lost Thee, who art an infinite good! O my Jesus! my heavenly physician, cast Thine eyes on my poor soul, look at the many wounds which I have inflicted on it by my sins, and have pity on me. If Thou wishest Thou canst make me clean (Matt. viii, 2). I know that Thou art able and willing to heal me; but in order to heal me, Thou wishest me to repent of the injuries which I have committed against Thee. I am sorry for them from the bottom of my heart. Heal me, then, now that it is in Thy power to heal me. Heal my soul, for I have sinned against Thee (Ps. xi, 5). I have forgotten Thee; but Thou hast not forgotten me; and now Thou makest me feel that Thou wilt even forget the injuries I have done Thee, if I detest them. " But if the wicked do penance ... I will not remember all his iniquities."—Ezek. xviii. 21. Behold, I detest my sins, I hate them above all things. Forget, then, O my Redeemer, all the displeasures I have given Thee. For the future I will M
lose all things, even life, rather than forfeit Thy grace. And what can all the goods of this earth profit me without Thy grace ?
Ah, assist me! Thou knowest my weakness. Hell will not cease to tempt me: it already prepares a thousand attacks to make me again its slave. No, my Jesus, do not abandon me. I wish to be henceforth the slave of Thy love. Thou art my only Lord; Thou hast created and redeemed me; Thou hast loved me more than all others; Thou alone hast merited my love; Thee alone do I wish to love.
SECOND POINT. Glory and Power on the Death-bed.
t the hour of death, Philip II., King of Spain, called his son, and throwing off his royal robe, uncovered his breast, which had been eaten away by worms, and said to him: "Prince, behold how we die ! see how all the grandeur of this world ends !" Theodoret has truly said that death fears not riches, nor satellites, nor sovereigns; and that from princes as well as vassals rottenness and corruption flow (De Prov. S. 6). A
Thus the dead, though they be princes, bring nothing with them to the grave: all their glory remains on the bed on which they expire. When he shall die, he shall take nothing away, nor shall his glory descend with him (Ps. xlviii, 18).
St. Antonine relates, that after the death of Alexander the Great a certain philosopher exclaimed: "Behold! the man who yesterday trampled on the earth is now buried in the earth. Yesterday the whole earth was not sufficient for him, and now he is content with seven palms. Yesterday he led his armies through the earth, and now he is carried by a few porters to the grave." But it is better to listen to the words of God. Why, says the Holy Ghost, is earth and ashes proud ? (Ecclus. X, 9).—O man ! do you not see that you are dust and ashes ? Why are you proud ? Why do you spend so many thoughts and so many years of life in seeking worldly greatness? Death will come; and then all your greatness and all your projects will be at an end. In that day, says David, all their thoughts shall perish (Ps. cxiv, 4).
Oh ! how much more happy was the death of St. Paul the Hermit, who lived sixty years shut up in a cave, than the death of Nero the Emperor of Rome! How much more happy was the death of St. Felix, a Capuchin lay-brother, than that of Henry the Eighth, who lived in the midst of royal magnificence, but at the same time at enmity with God ! But we must remember that, to secure a happy death, the Saints have abandoned all things; they have left their country; they have renounced the delights and the hopes which the world held out to them, and have embraced a life of poverty and contempt. But how can worldlings, living in the midst of sins, in the midst of earthly pleasures and dangerous occasions, expect a happy death ? God warns sinners that at death they shall seek and shall not find him (John vii, 34). He tells us that the hour of death shall be the time, not of mercy, but of vengeance (Deut. xxxii, 35). I will repay them in due time. Reason tells us the same; for, at death, men of the world shall find their understanding weak and darkened, and their heart hardened by the bad habits which they have contracted. Their temptations will then be more violent; how can they resist at death who were almost always accustomed to yield to temptations during life, and to be conquered by them? To change their heart a most powerful grace would be then necessary. But is God obliged to give them such a grace ? Have they merited such a grace by the scandalous and disorderly life which they have led? And on that last hour depends their happiness or misery for eternity. How is it possible that he who reflects on this, and believes the truths of faith, does not leave all to give himself to God, who will judge us all according to our works.
Affections and Prayers.
h, Lord ! how many nights have I slept in enmity with Thee ? O God! in what a miserable state was my soul during that time. It was hated by Thee, and wished to be hated by Thee. I was condemned to hell: there was nothing wanting but the execution of the sentence. But Thou, my God. hast never ceased to seek after me, and to invite me to pardon. But, who can assure me that Thou hast pardoned me? Must I, O my Jesus ! live in this uncertainty till Thou judgest me? But the sorrow which I feel for having offended Thee, my desire to love Thee, and still more Thy Passion, O my beloved Redeemer, make me hope that Thy grace dwells in my soul. I am sorry for having offended Thee, O Sovereign Good, and I love Thee above all things. I resolve to forfeit everything rather than lose Thy grace and Thy love. Thou wishest that the heart which seeks Thee should be full of joy. Let the heart of them rejoice that seek the Lord (1 Par. xvi, 10). Lord, I detest all the injuries I have offered to Thee. Give me courage and confidence : do not upbraid me with my ingratitude ; for I myself know and detest it. Thou hast said that Thou wilt not the death of a sinner, but that he be converted and live (Ezek. xxxiii, 11). Yes, my God, I leave all things and turn to Thee. I seek Thee, I desire Thee, I love Thee above all things. Give me Thy love; I ask nothing else. O Mary, thou, after Jesus, art my hope; obtain for me holy perseverance. A
THIRD POINT.
Let us Hasten to Give Ourselves to God.
avid calls the happiness of this life a dream of one who awakes from sleep (Ps. lxxii, 20). In explaining these words, a certain author says: The goods of this world appear great, but they are nothing: like a dream, which lasts but a little, and afterward vanishes, they are enjoyed but a short time. The thought, that with death all ends, made St. Francis Borgia resolve to give himself entirely to God. The Saint was obliged to accompany the dead body of the Empress Isabella to Grenada. When the coffin was opened, her appearance was so horrible and the smell so intolerable that all ran away. But St. Francis remained to contemplate in the dead body of his sovereign the vanity of the world; and looking at it, he exclaimed: "Are you then my empress ? Are you the queen before whom so many bent their knee in reverential awe? O Isabella, where is your majesty, your beauty gone ? Thus then," he said within himself, "end the greatness and the crowns of this world. I will, therefore, henceforth serve a master who can never die." From that moment he consecrated himself to the love of Jesus crucified; and he made a vow to become a religious, should his wife die before him. This vow he afterward fulfilled by entering into the Society of Jesus. D
Justly then has a person who was undeceived written on a skull these words: " Cogitanti vilescunt omnia." To him who reflects on death, everything in this world appears contemptible; he cannot love the earth. And why are there so many unhappy lovers of this world ? It is because they do not think of death. O ye sons of men, how long will you be dull of heort ? Why do you love vanity, and seek after lying ? (Ps. iv, 3). Miserable children of Adam, says the Holy Ghost, why do you not chase away from your heart so many earthly affections, which make you love vanity and lies ? What has happened to your forefathers must befall you. They have dwelt in the same palace which you inhabit, and have slept in your very bed; but now they are no more. Such, too, will be your lot. My brother, give yourself then to God before death comes upon you. Whatsoever thy hand is able to do, do it earnestly: (Eccles. Ix, 10). What you can do to-day, defer not till tomorrow; for a day once passed never returns, and tomorrow death may come, and prevent you from ever more being able to do good. Detach yourself instantly from everything which removes, or can remove, you from God. Let us instantly renounce in affection the goods of this earth, before death strips us of them by force. Blessed are the dead who die in the Lord. (Apoc. xiv, 13). Happy they who at death are already dead to all attachment to this world. They fear not, but desire death, and embrace it with joy; for, instead of separating them from the good which they love, it unites them to the Supreme Good, who is the sole object of their affections, and who will render them happy for eternity.
Affections and Prayers.
y dear Redeemer. I thank Thee for having waited for me. What should have become of me had I died when I was at a distance from Thee? May Thy mercy and patience, which I have experienced for so many years, be forever blessed ! I thank Thee for the light and grace with which Thou dost now assist me. I did not then love Thee, and I cared but little to be loved by Thee. I now love Thee with my whole heart, and nothing grieves me so much as the thought of having displeased so good a God. This sorrow tortures my soul; but it is a sweet torment, because it gives me confidence that Thou hast already pardoned me. O my sweet Saviour, would that I had died a thousand times before I sinned against Thee! I tremble lest I should hereafter offend Thee again. Ah! make me die the most painful of all deaths, rather than permit me evermore to lose Thy grace. I have been once M
the slave of hell; but now I am Thy servant, O God of my soul, Thou hast said that Thou lovest those who love Thee (Prov. viii, 17). I love Thee: then I am Thine, and Thou art mine. I may lose Thee at some future time ; but the grace which I ask of Thee is, to take me out of life rather than suffer me ever to lose Thee again. Unasked, Thou hast bestowed upon me so many graces; I cannot now fear that Thou wilt not hear my prayer for the grace which I now implore. Do not permit me ever to lose Thee. Give me Thy love, and I desire nothing more. Mary, my hope! intercede for me.
CONSIDERATION III.
Shortness of Life.
"What is your life ? It is a vapor, which appeareth for a little while."
—James, iv. 15.
FIRST POINT.
Death Comes Quickly.
HAT is your life? It is like a vapor, which is dissipated by a blast of wind, and is seen no more. All know that they must die; but the delusion of many is, that they imagine death as far off as if it were never to arrive. But Job tells us that the life of man is short. Man born of a woman, living for a short time, . . . who cometh forth like a flower, and is destroyed ( This truth the Lord commanded Isaias to preach to the people. Cry. . . . All flesh is grass. . . . Indeed, the people is grass. The grass is withered, and the flower is fallen (Isa. xl, 6). The life of man is like the life of a blade of grass ; death comes, the grass is dried up: behold, life ends, and the flower of all greatness and W
of all worldly goods falls off.
My days, says Job, have been swifter than a post (Job, ix, 25). Death runs to meet us more swiftly than a post, and we at every moment run towards death. Every step, every breath brings us nearer to our end. "What I write," says Jerome, "is so much taken away from life (Ad Hel. De morte Nep.). "During the time I write, I draw near to death." We all die, and like the waters that return no more, we fall into the earth (2 Kings, xiv, 14). Behold how the stream flows to the sea, and the passing waters never return! Thus, my brother, your days pass by, and you approach death. Pleasures, amusements, pomps, praises, and acclamations pass away; and what remains ? And only the grave remaineth for me (Job, xviii, 1). We shall be thrown into a grave, and there we shall remain to rot, stripped of all things. At the hour of death the remembrance of the delights enjoyed, and of all the honors acquired in this life, will serve only to increase our pain and our diffidence of obtaining eternal salvation. Then the miserable worldling will say : " My house, my gardens, my fashionable furniture, my pictures, my garments, will in a little time be no longer mine, 'and only the grave remaineth for me."
Ah ! at that hour all earthly goods are viewed only with pain by those who have had an attachment for them. And this pain will serve only to increase the danger of their eternal salvation; for we see by experience, that persons attached to the world wish at death to speak only of their sickness, of the physicians to be called to attend them, and of the remedies which may restore their health. When any one speaks of the state of the soul, they soon grow weary, and beg to be allowed repose. They complain of headache, and say that it pains them to hear any one speak. And if they sometimes answer, they are confused, and know not what to say. It often happens that the confessor gives them absolution, not because he knows that they are disposed for the sacrament, but because it is dangerous to defer it. Such is the death of those who think but little of death.
Affections and Prayers.
h, my God and Lord of infinite majesty ! I am ashamed to appear before Thee. How often have I dishonored Thee by preferring to Thy grace a sordid pleasure, a little dust, the indulgence of anger, caprice, or vanity ! I adore and kiss, O my Redeemer, Thy holy wounds, which I have inflicted by my sins; but through these wounds I hope for pardon and salvation. Make me, O my Jesus ! understand the great injury I have done Thee in leaving Thee, the fountain of every good, to drink putrid and poisoned waters. Of all the offences I have given Thee nothing now remains but pain, remorse of conscience, and fruits for hell. Father, I am not worthy to be called Thy child (Luke, xv, 21). My Father! do not cast me off. It is true that I no longer merit the grace which would make me Thy child ; but Thou hast died to pardon me. Thou hast said : Turn ye to me, . . . and I will turn to you (Zach., I, 3). I give up all that gratifies me, I renounce all the pleasures that the world can give me, and I turn to Thee. Pardon me for the sake of the blood which has been shed for me; I repent with my whole heart of all the insults I have offered to Thee. I repent, and I love Thee above all things. I am not worthy to love Thee; but Thou dost not refuse the love of a heart that has once despised Thee. Thou didst purposely abstain from taking me out of life when I was in sin, that I might love Thee. I wish to love Thee during the remainder of my life, and I wish to love nothing but Thee. Assist me; give me holy perseverance, and Thy holy love. Mary, my refuge! recommend me to Jesus Christ. A
SECOND POINT.
The Lighted Candle at Death.
ing Ezechias said with tears: My life is cut off as by a weaver; while I was yet beginning, he cut me off (Isa., xxxviii, 12). Oh, how many have been overtaken and cut off by death, while they were executing and arranging worldly projects devised with so much labor! By the light of the last candle, all things in this world, applause, diversions, pomps, and greatness vanish. Great secret of death ! It makes us see what the lovers of this world do not see. The most princely fortunes, the most exalted dignities, and the most superb triumphs lose all their splendor when viewed from the bed of death. The ideas that we have formed of certain false happiness are then changed into indignation against our own folly. The black and gloomy shade of death then covers and obscures every dignity, even that of kings and princes. K
At present, our passions make the goods of this earth appear different from what they are in reality. Death takes off the veil, and makes them appear what they really are—smoke, dirt, vanity, and wretchedness. O God ! of what use are riches, possessions, or kingdoms at death, when nothing remains but a wooden coffin, and a simple garment barely sufficient to cover the body? Of what use are the honors, when they all end in a funeral procession and pompous obsequies, which will be unprofitable to the soul if it be in HELL? Of what use is beauty, when after death nothing remains but worms, stench, and horror, and in the end a little fetid dust?
He hath made me, says Job, as it were a byword of the people, and an example before them (Job, xvii, 6). The rich man, the captain, the minister of state, dies: his death is the general topic of conversation; but if he has led a bad life he will become "a byword of the people, and an example before them." As an instance of the vanity of the world, and even of the divine justice, he will serve for the admonition of others. After burial his body will be mingled with the bodies of the poor. The small and great are there Job iii, 19). What profit has he derived from the beautiful structure of his body, which is now but a heap of worms? Of what use are the power and authority which he wielded, when his body is now left to rot in a grave, and his soul has, perhaps, been sent to burn in hell ? Oh, what misery! to be the occasion of such reflections to others, and not to have made them for his own profit! Let us then persuade ourselves that the proper time for repairing the disorders of the soul is not the hour of death, but the time of health. Let us hasten to do now what we shall not be able to do at that hour. The time is short. (Tempus breve est). Everything soon passes away and comes to an end: let us therefore labor to employ all things for the attainment of eternal life
Affections and Prayers,
God of my soul! O infinite goodness ? have mercy on me, who have so grievously offended Thee. I knew that in yielding to sin I should lose Thy grace, and I have voluntarily lost it. Tell me what. I must do in order to recover it. If Thou wishest me to repent of my sins, behold I repent of them with mv whole heart: I wish to die of sorrow for them. If Thou wishest me to hope for Thy pardon, I hope for it through the merits of Thy blood. If Thou wishest me to love Thee above all things, I give up all. I renounce all the pleasures and goods which the world can give me : I love Thee above every good, O my most amiable Saviour ! If Thou wishest me to ask Thy graces, I beg two graces from Thee—do not permit me ever more to offend Thee, and make me love Thee: treat O
me then as Thou pleasest. Mary, my hope, obtain for me these two graces: through thy intercession I hope to obtain them.
THIRD POINT.
Importance of the Last Moment.
ow great, then, the folly of those who, for the miserable and transitory delights of this short life, expose themselves to the danger of an unhappy death, and afterward of an unhappy eternity. Oh! how important is that last moment, that last gasp, the last closing of the scene ! On it depends an eternity either of all delights or of all torments—a life of eternal happiness or of everlasting woe. Let us consider that Jesus Christ submitted to a cruel and ignominious death in order to obtain for us the grace of a good death. That we may at that last moment die in the grace of God, is the reason why he gives us so many calls, so many lights, and admonishes us by so many threats. H
Antisthenes, though a pagan, being asked what was the greatest blessing which man could receive in this world, answered, A good death. And what will a Christian say, who knows by faith, that at the moment of death eternity begins, and that at that moment he lays hold of one of two wheels, which draws with it either eternal joy or everlasting torments ? If there were two tickets in a lottery, on one of which might be written HELL and on the other Heaven, what care would you not take to draw that which would give you a right to Paradise, and to avoid the other, by which you would win a place in Hell ! O God ! how the hands of those unhappy men tremble who are condemned to throw the die on which their life or death depends ! How great will be your terror at the approach of that last hour, when you will say : On this moment depends my life or death for eternity; on this depends whether I shall be forever happy or forever in despair ! St. Bernardine of Sienna relates, that at death a certain prince exclaimed, with trembling and dismay: Behold, I have so many kingdoms and palaces in this world; but if I die this night I know not what apartment shall be assigned to me.
Brother, if you believe that you must die, that there is an eternity, that you can die only once, and that if you then err your error will be forever irreparable, why do you not resolve to begin at this moment to do all in your power to secure a good death ? St. Andrew Avellino said with trembling: "Who knows what will be my lot in the next life? Shall I be saved or damned ?" The thought of the uncertainty of being damned or saved filled St. Louis Bertrand with so much terror, that he could not sleep during the night, because of this thought which would suggest itself to him: "Who knows whether thou wilt be lost ?" And will not you, who have committed so many sins, tremble? Oh ! hasten to apply a remedy in time; resolve to give yourself sincerely to God, and begin from this moment a life which, at the hour of death, will be to you a source, not of affliction, but of consolation. Give yourself up to prayer, frequent the Sacraments, avoid all dangerous occasions, and, if necessary, leave the world, secure to yourself eternal salvation, and be persuaded that to secure eternal life no precaution can be too great.
Affections and Prayers.
O my dear Saviour! how great are my obligations to Thee! How hast Thou been able to bestow so many graces on so ungrateful a traitor as I have been ? Thou hast created me ; and in creating me Thou didst see the injuries which I would commit against Thee. Thou didst redeem me by dying for me: and then, too, Thou didst see the ingratitude which I would be guilty of toward Thee. Being placed in the world I turned my back upon Thee by my sins. My soul was dead and rotten, and Thou didst restore me to life. I was blind, and Thou hast enlightened me. I had lost Thee, and Thou didst enable me to find Thee. I was Thy enemy, and Thou hast made me Thy friend. O God of mercy, make me feel the obligations which owe Thee, and make me weep over the offences which I have committed against Thee, Ah ! take vengeance on me by giving me a great sorrow for my sins. Do not chastise me by the privation of Thy grace and love. O eternal Father, I abhor and detest, above all evils, the injuries I have done Thee. Have mercy on me for the sake of Jesus Christ. Look at Thy Son dead on the cross. " Sanguis ejus super me." May his blood flow upon me, and wash my soul! O King of my heart! Thy kingdom come. I am resolved to banish every affection which is not for Thee. I love Thee above all things ; come and reign in my soul with undivided sway. Grant that I may love Thee, and love nothing but Thee. I desire to please Thee to the utmost of my ability, and to do Thy will in all things, during the remainder of my life. Bless, O my Father, this my desire, and grant me the grace to keep myself always united to Thee. All my affections I consecrate to Thee, and from this day forward I Wish to belong to Thee alone, my treasure, my peace, my hope, my love, my all. I hope for all graces through the merits of Thy Son. Mary, my queen and mother, assist me by thy intercession. Mother of God ! pray for me.
CONSIDERATION IV
The Certainty of Death.
"It is appointed unto men once to die."—Hebr. ix. 27.
FIRST POINT.
All Must Die.
HE sentence of death has been written against all men: you are a man; you must die. "Our other goods and evils," says St. Augustine, "are uncertain; death alone is certain" (Serm.97, E.H.). It is uncertain whether the infant that is just born will be poor or rich, whether he will have good or bad health, whether he will die in youth or in old age. But it is certain that he will die. The stroke of death will fall on all the nobles and monarchs of the earth. When death comes there is no earthly power able to resist it. St. Augustine says, "Fire, water, the sword, and the power of princes may be resisted ; but death cannot be resisted" (In Ps. cxxi). Belluacensis relates that at the end of his life a certain king of France said " Behold, with all my power, I cannot induce death to wait one more hour for me." When the term of life arrives, it is not deferred a single moment. Thou hast appointed his bounds, which cannot be passed (Job,xiv, 5). T
Dearly beloved reader, though you should live as many years as you expect, a day will come, and on that day an hour, which will be the last for you. For me, who am now writing, and for you, who read this little book, has been decreed the day and the moment when I will no longer write, and you will no longer read. Who is the man that shall live and not see death ? (Ps. lxxxviii, 49). The sentence has been already passed. There never has been a man so foolish as to flatter himself that he will not have to die. What has happened to your forefathers, will also happen to you. Of the immense numbers that lived in this country in the beginning of the last century there is not one now living. Even the princes and monarchs of the earth have changed their country: of them nothing now remains but a marble mausoleum with a grand inscription, which only serves to teach us, that of the great ones of this world nothing is left but a little dust inclosed in the tomb. "Tell me," says Saint Bernard, " where are the lovers of the world ? Of them nothing remains save ashes and worms" (Medit. C. 3).
Since our souls will be eternal, we ought to procure, not a fortune which soon ends, but one that will be everlasting. What would it profit you to be happy here (if it were possible for a soul to be happy without God), if hereafter you must be miserable for all eternity? You have built that house to your entire satisfaction; but remember that you must soon leave it to rot in a grave. You have obtained that dignity which raises you above others; but death will come and reduce you to the level of the poorest peasant.
Affections and Prayers.
h ! unhappy me, who have spent so many years only in offending Thee, O God of my soul. Behold these years are already past: death is perhaps at hand ; and what do I find but pains and remorse of conscience? Oh, that I had always served Thee, O my Lord! Fool that I have been ! I have lived so many years on this earth, and instead of acquiring merits for heaven, I have laden my soul with debts to the divine justice. Ah, my dear Redeemer, give me light and strength now to adjust my accounts. Death is perhaps not far off. I wish to prepare for that great moment, which will decide my eternal happiness or misery. I thank Thee for having waited for me till now; and since Thou hast given me time to repair the past, behold me, O my God! tell me what I am to do for Thee. Dost Thou wish me to weep over the offences I have offered to Thee ? I am sorry for them, and detest them with my whole soul. Dost Thou wish me to spend the remaining years and days of my life in loving Thee? I desire to do so. O God ; I have even hitherto frequently resolved to do so, but I have violated my promises. O my Jesus, I will be no longer ungrateful for the great graces A
Thou hast bestowed upon me. If I do not now change my life, how shall I be able at death to hope for pardon and for Paradise? Behold, I now firmly resolve to begin to serve Thee in earnest. But give me strength ; do not abandon me. Thou didst not abandon me when I offended Thee ; I therefore hope more confidently for Thy aid, now that I purpose to renounce all things to please Thee. Accept me, then, as one of Thy lovers, O God worthy of infinite love ! Receive the traitor that now casts himself with sorrow at Thy feet—that loves Thee, and asks Thy mercy. I love Thee, O my Jesus; I love Thee with my whole heart; I love Thee more than myself. Behold, I am Thine ; dispose of me, and of all that I possess, as Thou pleasest. Give me perseverance in obeying Thy commands ; give me Thy love ; and then do with me whatsoever Thou wishest. Mary, my mother, my hope, my refuge, to thee I recommend myself, to thee I consign my soul: pray to Jesus for me.
SECOND POINT.
Every Moment we Approach Death.
t is appointed. It is certain, then, that we are all condemned to death. We are born, says St. Cyprian, with the halter round our neck ; every step we take brings us nearer to death. My brother, as your name has been one day entered in the register of baptisms, so it will be one day entered in the register of deaths. As in speaking of your ancestors you say: God be merciful to my father, to my uncle, to my brother, so others shall say the same of you. As you have heard the death-bell toll for many, so others shall hear it toll for you. I
But what would you say if you saw a man on his way to the place of execution jesting, laughing, looking about in every direction, and thinking only of comedies, festivities, and amusements? And are not you now on your way to death ? What is the object of your thoughts ? Behold in that grave your friends and relatives, on whom justice has already been executed. How great is the terror and dismay of a man condemned to die, when he beholds his companions suspended on the gallows ! Look then at these dead bodies. Each of them says to you: Yesterday for me; today for thee (Ecclus. xxxviii, 23). The same is said to you by the portraits of your deceased relatives, by the memoranda-books, the houses, the beds, the garments, which they have left.
To know that you must die, that after death you will enjoy eternal glory or suffer eternal torments, that on death depends your eternal happiness or eternal misery, and, with all this before your eyes, not to think of settling your accounts, and of adopting every means of securing a happy death, is surely the extreme of folly. We pity those who meet with a Sudden and unprovided death ; why then do we not endeavor to be always prepared ? We too may die suddenly and without preparation. But, sooner or later, with or without warning, whether we think or do not think of it, we shall die ; and every hour, every moment, brings us nearer to our end, which shall be the last illness that will send us out of the world.
At every age, the houses, the streets, and the cities are filled with new people ; the former inhabitants are borne to the grave, their last resting-place. As the days of life have ended for them, so a time will come when neither I nor you, nor any one alive, will live any longer on this earth. Days shall be formed and no one in them (Ps. cxxxviii, 16). We shall all then be in eternity, which shall be for us either an eternal day of delights, or an eternal night of torments. There is no middle way ; it is certain and an article of faith, that either one lot or the other will be ours.
Affections and Prayers.
y beloved Redeemer! I would not dare to appear before Thee, did I not see Thee hanging on the cross, lacerated, despised, and lifeless, for the love of me. My ingratitude has been great; but Thy mercy is still greater. My sins have been very grievous ; but Thy merits exceed their enormity. Thy wounds, Thy blood, and Thy death are my hope. I deserved hell by my first sin: to that sin I have added so many other offences. And Thou hast not only preserved my life, but Thou hast also invited me to pardon, and hast offered me peace with so much mercy and so much love. How can I fear that Thou wilt drive me away, now that I love Thee and desire nothing but Thy grace ? Yes, my dear Lord, I love Thee with my whole heart, and I desire only to love Thee. I love Thee, and I am sorry for having despised Thee, not so much because I have deserved hell, as because I have offended Thee, my God, who hast loved me so tenderly. O my Jesus, open to me the bosom of Thy goodness; add mercies to mercies. Grant that I may be no longer ungrateful to Thee : change my whole heart. Grant that my heart, which has once despised Thy love, and has exchanged it for the miserable delights of this earth, may now be entirely Thine, and may burn with continual flames for Thee. I hope to gain Paradise, that I may always love Thee. I cannot enjoy in that kingdom a place among the innocent—I must remain among the penitents ; but though among these, I wish to love Thee more than the innocent. For the glory of Thy mercy, make all heaven behold so great a sinner inflamed with an ardent love. I resolve henceforth to be all Thine, and to think only of loving Thee. Assist me with Thy light and with Thy grace to execute this desire, which Thou in Thy goodness hast inspired. O Mary! thou who art the mother of perseverance, obtain tor me the grace to be faithful to M
this my promise.
THIRD POINT.
We should Think Continually of Death.
eath is certain. But, O God ! this truth Christians know, this they believe and see: and how can they still live so forgetful of death as if they would never have to die ? If after this life there were neither hell nor heaven, could they think less of it than they do at present? It is this forgetfulness that makes them lead so wicked a life. My brother, if you wish to live well, spend the remaining days of life with death before your eyes. O death, thy sentence is welcome (Ecclus. Xli, 3). Oh! how correct the judgments, how well directed the actions, of the man whose judgments are formed, and whose conduct is regulated in view of death! " Consider the end of life," says St. Laurence Justinian, "and you will love nothing in this world" (Lign. Vit. De Hum. c. 4). All that is in the world is the concupiscence of the flesh, of the eyes and the pride of life (1 John, ii, 16). All the goods of this earth are reduced to the pleasures of sense, to riches and to honors. But all these are easily despised by the man who considers that he will be soon reduced to ashes, and that he will be soon buried in the earth to be the food of worms. D
And in reality it was at the sight of death that the Saints despised all the goods of this earth. St. Charles Borromeo kept on his table a skull, in order that he might continually contemplate it. Cardinal Baronius had inscribed on his ring the words, Memento mori. (Remember death.) The Venerable P. Juvenal Ancina, Bishop of Saluzzo, had this motto written on a skull, "What you are, I was; and what I am, you shall be." A holy hermit being asked when dying how he could be so cheerful, said: "I have always kept death before my eyes; and therefore, now that it has arrived, I see nothing new in it."
What folly would it not be for a traveler, who would think only of acquiring dignities and possessions in the countries through which he had to pass, and should reduce himself to the necessity of living miserably in his native land, where he must remain during his whole life! And is not he a fool who seeks after happiness in this world, where he will remain only a few days, and exposes himself to the risk of being unhappy in the next, where he must live for eternity ? We do not fix our affections on borrowed goods, because we know that they must soon be returned to the owner. All the goods of this earth are lent to us: it is folly to set our heart on what we must soon quit. Death shall strip us of them all. The acquisitions and fortunes of this world all terminate in a dying gasp, in a funeral, in a descent into the grave. The house which you have built for yourself you must soon give up to others. The grave will be the dwelling of your body till the day of judgment; thence it will go to heaven or to hell, whither the souls will have gone before.
Affections and Prayers.
hen, at death, all shall be at an end for me. I shall then find only the little I have done for Thee, O my God ! and what do I wait for! Do I wait till death come and find me as miserable and defiled with sin as I am at present? Were I now called to eternity I should die with great disquietude on account of my past sins. No, my Jesus ; I will not die so discontented. I thank Thee for having given me time to weep over my iniquities, and to love Thee. I wish to begin from this moment. I am sorry from the bottom of my heart for having offended Thee, O Sovereign Good ! and I love Thee above all things—I love T
Thee more than my life. My Jesus! I give myself entirely to Thee. From this moment I embrace and unite Thee to my heart. I now consign my soul to Thee. Into Thy hands I commend my spirit. I will not wait to give it to Thee when that proficiscere, " Depart, O soul." will announce my departure from this world. I will not wait till then to ask Thee to save me. " Jesu sis mihi Jesus." My Saviour, save me now by granting me pardon and the grace of Thy holy love. Who knows but this consideration which I have read may be the last call which Thou wilt give me, and the last mercy which Thou wilt show me ? Extend Thy hand, O my love, and deliver me from the mire of my tepidity. Give me fervor, and make me do with great love all that Thou dost demand of me. Eternal Father, for the love of Jesus Christ, give me holy perseverance, and the grace to love Thee, and to love Thee ardently, during the remainder of my life. O Mary! through the love which thou bearest to thy Jesus, obtain for me these two graces: perseverance and love.
CONSIDERATION V.
Uncertainty of the hour of Death.
" Be you then also ready; for at what hour you think not, the Son of man will come."—Luke xii. 40.
FIRST POINT.
The Moment is Fixed, but it is Unknown.
T is certain that we shall die; but the time of death is uncertain " Nothing, " says the author who styles himself Idiota, " is more certain than death; but nothing is more uncertain than the hour of death" (De Cont. Mort. C. 3). My brother, God has already fixed the year, the month, the day, the hour, and the moment when I
I and you are to leave this earth and go into eternity; but the time is unknown to us. To exhort us to be always prepared, Jesus Christ tells us that death will come unawares, and like a thief in the night. The day of the Lord shall so come as a thief in the night (1 Thess. v. 2). He now tells us to be always vigilant; because, when we least expect him, he will come to judge us. At what hour you think not, the Son of man will come (Luke xii, 40). St. Gregory says that, for our good, God conceals from us the hour of death, that we may always be prepared to die. (Mort. 1, 12 c. 20). "Since, then," says St. Bernard, "death may take away life at all times and in all places, we ought, if we wish to die well and save our souls, to live always in expectation of death" (Medit. C. 3).
All know that they must die: but the misfortune is, that many view death at such a distance, that they lose sight of it. Even the old, the most decrepit, and the most sickly, flatter themselves that they will live three or four years longer. But how many, I ask, have we known, even in our own times, to die suddenly—some sitting, some walking, some sleeping? It is certain that not one of these imagined that he should die so suddenly, and on that day on which he died. I say, moreover, that of all who have gone to the other world during the present year, no one imagined that he should die and end his days this year. Few are the deaths which do not happen unexpectedly.
When, therefore, Christian soul, the devil tempts you to sin by saying, Tomorrow you will go to confession, let your answer be, How do I know but this will be the last day of my life ? If this hour, this moment, in which I would turn my back on God, were the last of my life, so that I would have no time for repentance, what would become of me for all eternity? To how many poor sinners has it happened, that in the act of feasting on the poison of sin they were struck dead and sent to hell? As fishes are taken with the hook, says Ecclesiastes, so men are taken in the evil time (Eccles. Ix, 12). The evil time is that in which the sinner actually offends God. The devil tells you that this misfortune will not happen to you; but you should say to him, in answer: If it should happen to me, what will become of me for all eternity?
Affections and Prayers.
ord the place in which I ought to be at this moment is not that in which I find myself, but in hell, which I have so often merited by my sins. " Infernus domus mea est." (Hell is my house). St. Peter says: The Lord waiteth patiently for your sake, not willing that any one should perish, but that all should return to penance (2 Peter iii, 9). Then Thou hast had so much patience with me, and hast waited for me, because Thou wishest me not to be lost, but return to Thee by repentance. My God, I return to Thee; least myself at Thy feet, and supplicate mercy Have mercy on me, O God, according to Thy great mercy. Lord, to pardon me requires a great and extraordinary act of mercy, because I offended Thee after I had been favored with a special light. Other sinners also have offended Thee, but they have not received the light which Thou gavest to me. But, in spite of all my sinfulness and ingratitude, Thou commandest me to repent of my sins, and to hope for pardon. Yes, my Redeemer, I am sorry with my whole heart for having offended Thee, and I hope for pardon through the merits of Thy Passion. Thou, my Jesus, though innocent, wished to die like a criminal on the cross, and to shed all Thy blood in order to wash away my sins. "O sanguis innocentis lava, culpas poenitentis." O blood of the innocent, wash away the sins of the penitent. O eternal Father! pardon me for the sake of Jesus Christ. Hear his prayers, now that He intercedes for me and makes himself my advocate. But it is not enough to receive pardon ; I desire also, O God ! worthy L
of infinite love, the grace to love Thee : I love Thee, O Sovereign Good ! and I offer Thee henceforth my body, my soul, my liberty, and my will. I wish henceforth to avoid not only grievous, but also venial offences. I will fly from all evil occasions. Lead us not into temptation. For the love of Jesus Christ, preserve me from the occasions in which I would offend Thee. But deliver us from evil: Deliver me from sin, and then chastise me as Thou pleasest. I accept all infirmities, pains, and losses which Thou mayest be pleased to send me: it is enough for me not to lose Thy grace and Thy love. Ask, and you shall receive. (John, xvi, 24). Thou promisest to grant whatsoever we ask ; I ask these two graces—holy perseverance and the gift of Thy love. O Mary, mother of mercy! thou dost pray for me: in thee do I put my trust.
SECOND POINT
We Should Make up Our Accounts. he Lord does not wish us to be lost; and therefore, by the threat of chastisement, he unceasingly exhorts us to a change of life. Except you will be converted, He win brandish His sword (Ps. vii, 13). Behold, he says in another place, how many, because they would not cease to offend me, have met with a sudden death, when they were least expecting it, and were living in peace, secure of a life of many years. For when they shall say : Peace and security: then shall sudden destruction come upon them (1 Tess. v. 3). Again he says: Unless you shall do penance, you shall all likewise perish (Luke, xiii, 3). Why so many threats of chastisement before the execution of vengeance ? It is because he wishes that we amend our lives, and thus avoid an unhappy death. " He," says St. Augustine, " who tells you to beware, does not wish to take away your life." (Serm. 22 E.B.). It is necessary, then, to prepare our accounts before the day T
of account arrives. Dearly beloved Christians, were you to die, and were your lot for eternity to be decided before night would your accounts be ready? Oh! how much would you give to obtain from God another year or month, or even another day, to prepare for judgment ? Why then do you not now, that God gives you this time, settle the accounts of your conscience? Perhaps it cannot happen that this shall be the last day for you ? Delay not to be converted to the Lord, and defer it not from day to day; for His wrath shall come on a sudden, and in the time of vengeance He will destroy thee (Eccles. V. 8). My brother, to save your soul you must give up sin. "If then you must renounce it at some time, why do you not abandon it at this moment ?" says St. Augustine. Perhaps you are waiting till death arrives ? But, for obstinate sinners, the hour of death is the time, not of pardon, but of vengeance. Jn the time of vengeance He will destroy thee.
When any one borrows from you a large sum of money you take care to get a written security for it. Who knows, you say, what may happen ? Why are you not equally careful about the salvation of your soul, which is of far greater importance to you than all the riches of the earth ? When eternity is at stake, why do you not say: Who knows what may happen? If you were to lose a sum of money, all would not be lost; and though in losing it your entire property would be lost, you would have the hope of recovering it. But if at death you lose your soul, then you will truly have lost all, and can never hope to regain it. You are careful to keep an exact account of all the goods you possess, lest, by dying suddenly, any of them might be lost; and if you meet with a sudden death, and find yourself at enmity with God, what will become of your soul for all eternity ?
Affections and Prayers.
h! my Redeemer ! Thou hast spent all Thy blood, and hast given Thy life in order to save my soul; and I have often lost it by confidence in Thy mercy. I have, then, so often abused Thy goodness to offend Thee. By doing so, I have deserved to be suddenly struck dead, and to be cast into hell. In a word, I have been engaged in a contest with Thee. Thou didst treat me with mercy, and I offended Thee; Thou didst seek after me, and I fled away from Thee ; Thou gavest me time to repair the evil I had done., and I employed that time in adding insults to insults. Lord, make me understand the injustice I have done Thee, and the obligation by which I am bound to love Thee. Ah! my Jesus! how could I be so dear to Thee, who sought after me so often when I chased Thee away ? How hast Thou been able to bestow so many graces on one who has given Thee so much displeasure? From this I see the ardor of Thy desire to save me from perdition. I am sorry with my whole heart for having offended Thee, O infinite goodness! Ah, receive this ungrateful sheep, that casts itself sorrowful at Thy feet; receive it and bind it on Thy shoulders, that I may never more fly away from Thee. I will never again abandon Thee. I wish to love Thee; I wish to be Thine; and provided I belong to Thee, I am content to suffer every pain. And what greater punishment can fall upon me than to live without Thy grace, to be separated from Thee, who art my God, who hast created me and died for me? O accursed sins! what have you done? You have made me displease my Saviour, who has loved me so tenderly. Ah, my Jesus, as Thou hast died for me, so I ought to die for Thee. Thou hast died through love for me—I should die through sorrow for having despised Thee. I accept death in whatever manner and at whatever time Thou pleasest to send it. Hitherto I have not loved Thee, or I have loved Thee too little. I do not wish to die in this state. Ah, grant me a little more time, that I may love Thee before I die. Change my heart ; wound it; inflame it with Thy holy love. Through that A
affection of charity which made Thee die for me, grant me this favor. I love Thee with my whole heart. My soul is enamored of Thee. Do not permit me to lose Thee. Give me holy perseverance; give me Thy holy love. Most holy Mary, my refuge and my mother! perform the office of advocate in my behalf.
THIRD POINT
We Must Always be Ready.
e ye ready. The Lord does not tell us to prepare ourselves, but to be prepared, when death arrives. When death comes, it will be almost impossible, in that tempest and confusion, to give ease to a troubled conscience. This, reason tells us: this, God threatens, saying that then he will come, not to pardon, but to avenge, the contempt of his graces. Revenge is mine, I will repay (Rom. xii, 19). It is, says St. Augustine, a just punishment, that he who was unwilling, when he was able to save his soul, will not be able when he is willing (De Lib. Arb. 1. 3, c. 13). But you will say: Perhaps I may still be converted and saved. Would you throw yourself into a deep well, saying, Perhaps I may not be drowned ? O God ! how sin blinds the understanding, and deprives the soul of reason. When there is question of the body, men speak rationally; but when the soul is concerned, they speak like fools. B
My brother, who knows but this point which you read is the last warning that God may send you ? Let us immediately prepare for death, that it may not come upon us without giving us time to prepare for judgment. St. Augustine says that God conceals from us the last day of life, that we may be always prepared to die (Serm. 39 E. B.). St. Paul tells us that we must work out our salvation, not only with fear, but also with trembling (Phil. Ii, 12). St.
Antonine relates that a certain king of Sicily, to make one of his subjects understand the fear with which he sat on the throne, commanded him to sit at table with a sword suspended over him by a slender thread. The apprehension that the thread might give way filled him with so much terror that he could scarcely taste food. We are all in like danger; for the sword of death, on which our eternal salvation depends, may at each moment fall upon us.
It is indeed a question of eternity. If the tree fall to the south or to the north, in which place soever it shall fall, there shall it lie (Eccles. xi, 3). If, when death comes, we are found in the grace of God, oh! with what joy shall we say: I have secured all; I can never again lose God; I shall be happy forever. But, if death finds the soul in sin, with what despair will it exclaim, "Ergo erravimus !"— therefore have I erred; and for my error there will be no remedy for all eternity. The fear of an unhappy eternity made the venerable Father Avila, apostle of Spain, say, when the news of death was brought to him: Oh! that I had a little more time to prepare for death ! This fear made the Abbot Agatho, who spent so many years in penance, say at death: What will become of me ? Who can know the judgments of God ? St. Arsenius, too, trembled at the hour of death; and being asked by his disciples, why he was so much alarmed, he said: "My children this fear is not new to me; I have had it always during my whole life." Above all, holy Job trembled when he said: What shall I do when the Lord shall rise to judge ? and when he shall examine, what shall I answer him ? (Job xxxi, 14).
Affections and Prayers.
h my God! who has ever loved me more than Thou hast ? and whom have I despised and insulted more than I have insulted Thee ? O blood! O wounds of Jesus, you are my hope. Eternal Father, look not upon my sins, but look at the wounds of Jesus; behold Thy Son dying through pain for my sake, and asking Thee to pardon me. I repent, O my Creator! of having offended Thee. I am sorry for it above all things. Thou didst create me that I might love Thee ; and I have lived as if Thou didst create me to offend Thee. For the love of Jesus Christ, pardon me and give me grace to love Thee. I have hitherto resisted Thy will, but I will resist no longer, and will do whatsoever Thou commandest. Thou commandest me to detest the outrages I have offered Thee; behold, I detest them, with my whole heart. Thou commandest me to resolve to offend Thee no more ; behold, I resolve to lose my life a thousand times, rather than forfeit Thy grace. Thou commandest me to love Thee with my whole heart; yes, with my whole heart I love Thee, and I wish to love nothing else but Thee. Thou wilt henceforth be my only beloved, my only love. From Thee I ask, and from Thee I hope for holy perseverance. For the love of Jesus Christ, grant that I may be always faithful to Thee, and that I may always say to Thee, with St. Bonaventure: " Unus est dilectus meus, unus est amor meus." My beloved is one, my love is one. I do not wish that my life be employed any longer in giving Thee displeasure ; I wish to spend it only in weeping over the offences I have committed against Thee, and in loving Thee. Mary, my Mother! pray for all who recommend themselves to thee,—pray to Jesus also for me. A
CONSIDERATION VI
The Death of the Sinner.
" When distress cometh upon them, they will seek for peace, and there shall be none. Trouble shall come upon trouble."—Ezek. vii. 25.
FIRST POINT
The Sinner will Seek God at Death, but He will not find Him.
T present sinners banish the remembrance and thought of death ; and thus they seek after peace, though they never find it, in the sinful life which they lead. But when they are found in the straits of death, on the point of entering into eternity, they shall seek peace, and there shall be none. Then they will not be able to fly from the torture of their sinful conscience. They will seek peace; but what peace can be found by a soul loaded with sins that sting it like so many vipers ? What peace can the sinner enjoy when he sees that he must in a few moments appear before the judgment-seat of Jesus Christ, whose law and friendship he has till then despised? Trouble shall come upon trouble. The news of death, which has been already announced, the thought of being obliged to take leave of everything in this world, the remorse of conscience, the time lost, the want of time at present, the rigor of the divine judgment, the unhappy eternity which awaits sinners—all these things will form a horrible tempest, which will confuse the mind, will increase his apprehensions; and thus, full of confusion and distrust, the dying sinner will pass to the other world. Trusting in the divine promise, Abraham, with great merit, hoped in God, against human hope (Rom. iv, 18). But sinners, with great demerit, hope falsely and to their own perdition, not only against hope but also against faith; because they despise the menaces of God against all who are obstinate in sin. They are afraid of a bad death, but they fear not to lead a wicked life. But who has assured them that they will not suddenly be deprived of life by a A
thunderbolt, by apoplexy, or by the bursting of a bloodvessel ? And were they at death even allowed time for repentance, who assures them that they will sincerely return to God ? To conquer bad habits, St. Augustine had to fight against them for twelve years. How will the dying man, who has always lived in sin, be able, in the midst of the pains, the stupefaction, and the confusion of death, to repent sincerely of all his past iniquities ? I say sincerely, because it is not enough to say and to promise with the tongue: it is necessary to promise with the heart ? O God ! what terror and confusion will seize the unhappy Christian who has led a careless life, when he finds himself overwhelmed with sins, with the fears of judgment, of hell, and of eternity ! Oh ! what confusion will these thoughts produce when the dying sinner will find his reason gone, his mind darkened, and his whole frame assailed by the pains of approaching death. He will make his confession; he will promise, weep, and seek mercy from God, but without understanding what he does; and in this tempest of agitation, of remorse, of pains and terrors, he will pass to the other life. The people shall be troubled, and they shall pass (Job, xxxiv, 20). A certain author says that the prayers, the wailings, and promises of dying sinners are like the tears and promises of a man assailed by an enemy who points a dagger to his throat to take away his life. Miserable the man who takes to his bed at enmity with God, and passes from the bed of sickness to eternity.
Affections and Prayers.
wounds of Jesus! you are my hope. I should despair of the pardon of my sins, and of my eternal salvation, did I not behold you, the fountains of mercy and grace, through which a God has shed all his blood, to wash my soul from the sins which I have committed. I adore you, then, O holy wounds! and O
trust in you. I detest a thousand times, and curse those vile pleasures by which I have displeased my Redeemer, and have miserably lost his friendship. Looking then at Thee, I raise up my hopes, and turn my affections to Thee. My dear Jesus, Thou deservest to be loved by all men, and to be loved with their whole heart. I have so grievously offended Thee, I have despised Thy love; but, notwithstanding my sinfulness, Thou hast borne with me so long, and invited me to pardon with so much mercy. Ah, my Saviour, do not permit me evermore to offend Thee, and to merit my own damnation. O, God ! what torture should I feel in hell at the sight of Thy blood and of the great mercies Thou hast shown me. I love Thee, and will always love Thee. Give me holy perseverance. Detach my heart from all love which is not for Thee, and confirm in me a true desire, a true resolution henceforth, to love only Thee, my sovereign good. O Mary, my Mother! draw me to God, and obtain for me the grace to belong entirely to him before I die.
SECOND POINT
Anguish of the Dying Sinner.
he poor dying sinner will be assailed, not by one, but by many causes of distress and anguish. On the one band, the devils will torment him. At death these horrid enemies exert all their strength to secure the perdition of the soul that is about to leave this world. They know that they have but little time to gain it, and that if they lose it at death, they shall lose it forever. The Devil is come down unto you, having great wrath, knowing that he hath but a short time (Apoc. xii, 12). The dying man will be tempted, not by one, but by innumerable devils, who will labor for his damnation. Their houses shall be filled with serpents (Isa. xiii, 21). One will say: Fear not; you will recover. Another: You have been deaf to the T
inspirations of God for so many years, and do you now expect that he will have mercy on you ? Another will ask: How can you make satisfaction for all the injuries you have done to the property and character of your neighbors ? Another: Do you not see that your confessions have been null, that they have been made without sorrow or a purpose of amendment ? How will you now be able to repair them ?
On the other hand, the dying man will see himself surrounded by his sins. Evils, says David, shall catch the unjust man unto destruction (Ps. cxxxix, 12). These sins, says St. Bernard, like so many satellites, shall keep him in chains, and shall say unto him: " We are your works; we shall not desert you " (Medit. C. 2). We are your offspring; we will not leave you; we will accompany you to the other world, and will present ourselves with you to the Eternal Judge. The dying man will then wish to shake off such enemies; but, to get rid of them, he must detest them, he must return sincerely to God. His mind is darkened, and his heart hardened. A hard heart shall fare evil at the last; and he that loveth danger shall perish in it (Ecclus, iii, 27). St. Bernard says that the man who has been obstinate in sin during life, will make efforts, but without success, to get out of the state of damnation; and that, overwhelmed by his own malice, he will end his life in the same unhappy state. Having loved sin till death, he has also loved the danger of damnation. Hence the Lord will justly permit him to perish in that danger in which he has voluntarily lived till the end of his life. St. Augustine says that he who is abandoned by sin before he abandons it, will scarcely detest it as he ought; because what he will then do will be done through necessity (De vera poenit. c. 17).
Miserable the sinner that hardens his heart and resists the divine calls: His heart shall be as hard as a stone and as firm as a smith's anvil (Job, xli, 15). Instead of yielding to the graces and inspirations of God, and being softened by them, the unhappy man becomes more obdurate, as the anvil is hardened by repeated strokes of the hammer. In punishment of his resistance to the divine calls, he will find his heart in the same miserable state at the very hour of death, at the moment of passing into eternity. A hard heart shall fare evil at the last. Sinners, says the Lord, you have, for the love of creatures, turned your back upon me. They have turned their back upon me, and not their face; and in the time of their affliction they will say: Arise, and deliver us. Where are the gods thou hast made thee? Let them arise and deliver thee (Jer. Ii, 27). They will have recourse to God at death; but he will say to them: Why do you invoke me now? Call on creatures to assist you; for they have been your gods. The Lord will address them in this manner, because, in seeking him, they do not sincerely wish to be converted. St. Jerome says that he holds, and that he has learned from experience, that they who have to the end led a bad life, will not die a good death (Hoc teneo, hoc multiplici experientia didici, quod ei non bonus finis, cui mala simper vita fuit. – In Epis. Euseb. Ad Dam.).
Affections and Prayers.
y dear Saviour! assist me ; do not abandon me. I see my whole soul covered with the wounds of sin, my passions attack me violently, my bad habits weigh me down. I cast myself at Thy feet; have pity on me and deliver me from so many evils. In Thee, O Lord! I have hoped; may I not be confounded forever (Ps. xxx, 6). Do not suffer a soul that trusts in Thee, to be lost. Deliver not up to beasts the souls that confess to Thee (Ps. lxxiii, 19). I am sorry for having offended Thee, O infinite Goodness. I have done evil, I confess my guilt. I wish to amend my life, whatsoever it may cost me. But if Thou dost not help me M
by Thy grace, I am lost. Receive, O my Jesus! the rebel who has so grievously outraged Thy majesty. Remember that I have been purchased by Thy blood and Thy life. Through the merits then of Thy Passion and death, receive me into Thy arms, and give me holy perseverance. I was lost, Thou hast called me back: I will resist no longer: to Thee I consecrate myself; bind me to Thy love, and do not permit me evermore to lose Thee by losing Thy grace again. My Jesus! do not permit it. Mary, my queen ! do not permit it: obtain for me death, and a thousand deaths, rather than that I should again forfeit the grace of thy Son.
THIRD POINT
We Must Seek God when we can Find Him.
t is a marvellous thing that God unceasingly threatens sinners with an unhappy death. Then they shall call upon me, and I will not hear (Prov. I, 28). Will God hear his cry when distress shall come upon him? (Job, xxvii, 9). I also will laugh in your destruction, and will mock (Prov. i, 26). According to St. Gregory, God laughs when he is unwilling to show mercy (Mor. 1, 9, c. 20). Revenge is mine, and I will repay them in due time: (Deut. xxii, 35). I
The Lord pronounces the same threats in so many other places: and sinners live in peace as securely as if God had certainly promised to give them, at death, pardon and paradise. It is true that at whatsoever hour the sinner is converted God promises to pardon him. But he has not promised that sinners will be converted at death: on the contrary, he has often protested that they who live in sin shall die in sin. You shall die in your sins (John, viii, 21-24). He has declared that they who seek him at death shall not find him. You shall seek me, and shall not find me (John, vii, 34). We must, therefore, seek God while he may be found (Isa. iv, 6). A time shall come when it will not be in our power to find him. Poor blind sinners ! they put off their conversion till death, when there will be no more time for repentance. " The wicked," says Oleaster, "have never learned to do good unless when the time for doing good is no more." " God wills the salvation of all: but he takes vengeance on obstinate sinners. Should any man in a state of sin be seized with apoplexy and be deprived of his senses, what sentiments of compassion would be excited in all who should see him die without the sacraments and without signs of repentance ! And how great should be their delight, if he recovered the use of his senses, asked for absolution, and made acts of sorrow for his sins ! But is not he a fool who has time to repent and prefers to continue in sin? or who returns to sin, and exposes himself to the danger of being cut off by death without the sacraments, and without repentance ? A sudden death excites terror in all; and still how many expose themselves to the danger of dying suddenly, and of dying in sin ?
Weight and balance are the judgments of the Lord (Prov. xvi, 11). We keep no account of the graces which God bestows upon us; but he keeps an account of them, he measures them; and when he sees them despised to a certain degree, he then abandons the sinner in his sin, and takes him out of life in that unhappy state. Miserable the man who defers his conversion till death. St. Augustine says: "The repentance which is sought from a sick man is infirm." (Serm. 255, E.B. App). St. Jerome teaches, that of a hundred thousand sinners who continue in sin till death, scarcely one will be saved (In Ep. Eus. Ad Dam.) St. Vincent Ferrer writes that it is a greater miracle to bring such sinners to salvation, than to raise the dead to life (De Nat, V, S. 1).
What sorrow, what repentance, can be expected at death from the man who has loved sin till that moment? Bellarmine relates that when he exhorted to contrition a certain person whom he assisted at death, the dying man said that he did not know what was meant by contrition. The holy Bishop endeavored to explain it to him; but he said: Father, I do not understand you; these things are too high for me. He died in that state, leaving, as the venerable Cardinal has written, sufficiently evident signs of his damnation. St. Augustine says that by a just chastisement the sinner who has forgotten God during life shall forget himself at death (S. 257 E.B. App)
Be not deceived, says the Apostle, God. is not mocked. For what things a man shall sow, those also shall he reap. For he that soweth in his flesh, of the flesh also shall he reap corruption (Gal. vi, 7). It would be a mockery of God to live in contempt of his laws, and afterward to reap remuneration and eternal glory. But God is not mocked. What we sow in this life, we reap in the next. For him who sows the forbidden pleasures of the flesh, nothing remains but corruption, misery,, and eternal death.
Beloved Christian, what is said for others is also applicable to you. Tell me: if you were at the point of death, given over by the physicians, deprived of your senses, and in your last agony, with what fervor would you ask of God another month or week to settle the accounts: of your conscience ! God at present gives you this time: thank him for it, and apply an immediate remedy to the evil you have done; adopt all the means of finding yourself in the grace of God when death comes; for then there will be no more time to acquire his friendship.
Affections and Prayers.
Ah, my God ! who would have borne with me so patiently as Thou hast? If Thy goodness were not infinite, I would despair of pardon. But I have to deal with a God who has died for my salvation. Thou commandest me to hope, and I will hope. If my sins terrify and condemn me, Thy merits and Thy promises encourage me. Thou hast promised the life of Thy grace to all who return to Thee. Return ye and live (Ezek. xviii, 32). Thou hast promised to embrace him who is converted to Thee. Turn ye to me, and I will turn to you (Zach. I, 3). Thou hast said that Thou knowest not how to despise a contrite and humble heart (Ps. 1, 19). Behold me, O Lord; I return to Thee ; I acknowledge that I deserve a thousand hells ; I am sorry for having offended Thee. I firmly promise never again to offend Thee voluntarily, and to love Thee forever. Ah ! do not suffer me any longer to be ungrateful to such unbounded goodness. O eternal Father, through the merits of the obedience Of Jesus Christ, who died to obey Thee, grant that I may till death be obedient to all Thy wishes. I love Thee, O Sovereign Good ! and through the love which I bear Thee, I desire to obey Thee. Give me holy perseverance, give me Thy love; I ask nothing more. Mary, my Mother! intercede for me.
CONSIDERATION VII
Sentiments of a Dying Christian, who has been Careless about the Duties of Religion and has thought but little of Death.
" Take order with thy house; for thou shall die, and shall not live,"—Isa. xxxviii, 1.
FIRST POINT.
Sad State of the Worldling at Death.
MAGINE yourself at the bedside of a negligent Christian, who is overpowered by sickness, and has but a few hours to live. Behold him oppressed by pains, by swoons, by suffocation, by want of breath, by cold perspirations, his reason so impaired, that he feels but little, understands little, and can speak but little. The greatest of all his miseries is, that though at the point of death, instead of thinking of his soul and of preparing accounts for eternity, be fixes all his thoughts on physicians, on the remedies by which he may be rescued from sickness, and from the pains which will soon put an end to life. "They are unable to have any other thought of themselves," (De Cont. Mundi, c. 15) says St. Laurence Justinian, speaking of the condition of negligent Christians at the hour of death. They can think only of themselves. Surely his relatives and friends will admonish the dying Christian of his danger? No; there is not one among all his relatives and friends who has the courage to announce to him the news of death, and to advise him to receive the last sacraments. Through fear of offending him, they all refuse to inform him of his danger.—O my God ! from this moment I thank Thee, that at death I shall, through Thy grace, be assisted by my beloved brothers of my Congregation, who will then have no other interest than that of my eternal salvation, and will all help me to die well. I
But though he is not admonished of his approaching death, the poor sick man, seeing the family in disorder, the medical consultations repeated, the remedies multiplied, frequent, and violent, is filled with confusion and terror. Assaulted by fears, remorse, and distrust, he says within himself: Perhaps the end of my days has arrived. But what will be his feelings when he is told that death is at hand ? " Take order with thy house; for thou shall die, and shall not live." What pain will he feel in hearing these words : Your illness is mortal: it is necessary to receive the last sacraments, to unite yourself to God, and to prepare to bid farewell to the world. What! exclaims the sick man; must I take leave of all—of my house, my villa, my relatives, friends, conversations, games, and amusements ? Yes, you must take leave of all. The lawyer is already come, and writes this last farewell: I bequeath such-a-thing and such-a-thing, etc. And what does he take away with him ? Nothing but a miserable rag, which will soon rot with him in the grave.
Oh ! with what melancholy and agitation will the dying man be seized at the sight of the tears of the servants, at the silence of his friends, who have not courage to speak in his presence. But his greatest anguish will arise from the remorse of his conscience, which in that tempest will be rendered more sensible by the remembrance of the disorderly life he has until then led, in spite of so many calls and lights from God, of so many admonitions from spiritual Fathers, and of so many resolutions made, but never executed, or afterward neglected. He will then say: O unhappy me ! I have had so many lights from God, so much time to tranquillize my conscience, and have not done so. Behold, I am now arrived at the gate of death. What would it have cost me to have avoided such an occasion of sin, to have broken off such a friendship, to have frequented the tribunal of penance ? Ah, very little; but, though they had cost me much pain and labor, I ought to have submitted to every inconvenience in order to save my soul, which is of more importance to me than all the goods of this world. Oh ! if I had put into execution the good resolutions which I made on such an occasion; if I had continued the good works which I began at such a time, how happy should I now feel! But these things I have not done, and now there is no more time to do them. The sentiments of dying sinners who have neglected the care of their souls during life, are like those of the damned who mourn in hell over their sins as the cause of their
sufferings, but mourn without fruit and without remedy.
Affections and Prayers.
ord! if it were at this moment announced to me that my death was at hand, such would be the painful sentiments that would torture my soul. I thank Thee for giving me this light, and forgiving me time to enter into myself. O my God! I will no longer fly from Thee. Thou hast sought after me long enough. I have just reason to fear that Thou wilt abandon me, if I now refuse to give myself to Thee, and continue to resist Thy calls. Thou hast given me a heart to love Thee, and I have made so bad use of it. I have loved creatures and have not loved Thee, my Creator and Redeemer! who hast given Thy life for the love of me. Instead of loving Thee, ,how often have I offended, how often have I despised Thee, and turned my back upon Thee ? I knew that by such a sin I insulted Thee, and still I have committed it. My Jesus! I am sorry for all my sins; they displease me above all things. I wish to change my life. I renounce all the pleasures of the world in order to love and please Thee, O God of my soul ! Thou hast given me strong proofs of Thy love. I too would wish before death to give Thee some proof of my love. From this moment I accept all the infirmities, crosses, insults, and offences that I receive from men ; give me strength to submit to them with peace. I wish to bear them all for the love of Thee. I love Thee, O infinite goodness! I love Thee above every good. Increase my love, give me holy perseverance. Mary, my hope! pray to Jesus for me. L
SECOND POINT.
Desire of the Worldling: at Death.
Oh, how clearly are the truths of faith seen at the hour of death ! But then they only serve to increase the anguish of the dying Christian who has led a bad life, particularly if he has been consecrated to God, and has had greater facilities for serving him, more time for exercises of piety, more good examples and more inspirations. O God ! what torture will he feel in thinking and saying: I have admonished others, and my life has been worse than theirs. I have left the world, and have cherished attachment to worldly pleasures and vanities. What remorse will he feel in thinking that with the lights which he had received from God a pagan would become a saint ! With what pain will his soul be racked when he remembers that he ridiculed in others certain practices of piety, as if they were weaknesses of mind; and that he praised certain worldly maxims of self-esteem, or of selflove, such as: It is necessary to seek our own advancement ; We ought to avoid suffering, and indulge in every amusement within our reach.
The desire of the wicked slall perish (Ps. cxi, 10). How ardently shall we desire at death the time which we now squander away ? In his dialogues, St. Gregory relates that a certain rich man, called Crisorius, who had led a wicked life, seeing at death the devils who came to carry him off, exclaimed: Give me time, give me time until tomorrow. They replied: O fool! do you now seek for time? You have had so much time, but have wasted it and have spent it in committing sin; and now you seek for time. Time is now no more. The unhappy man continued to cry out and call for assistance. To his son Maximus, a monk, who was present, he said: O my son, assist me ! O Maximus, come to my aid ! With his face on fire, he flung himself furiously from one side of the bed to the other; and in that state of agitation, screaming aloud, like one in despair, he breathed forth his unhappy soul.
Alas ! during this life, these fools love their folly; but at death they open their eyes, and confess that they have been fools. But this only serves to increase their fear of repairing past evils ; and dying in this state, they leave their salvation very uncertain. My brother, now that you are reading this point, I imagine that you too say: This is indeed true. But if this is true, your folly and misfortune will be still greater, if after knowing these truths during life, you neglect to apply a remedy in time. This very point which you have read will be a sword of sorrow for you at death.
Since, then, you now have time to avoid a death so full of terror, begin instantly to repair the past; do not wait for that time in which you can make but little preparation for judgment. Do not wait for another month, nor for another week. Perhaps this light which God in his mercy gives you now may be the last light and the last call for you. It is folly to be unwilling to think of death, which is certain, and on which eternity depends; but it would be still greater folly to reflect on it, and not prepare for judgment. Make now the reflections and resolutions which you would then make; they may be made now with profit—then without fruit; now, with confidence of saving your soul—then, with diffidence as to your salvation. A gentleman who was about to take leave of the court of Charles the Fifth, to live only to God, was asked by the Emperor why he thought of quitting the court. The gentleman answered: To secure salvation, it is necessary that some time spent in penitential works should intervene between a disorderly life and death.
Affections and Prayers.
my God ! I will no longer abuse Thy mercy. I thank Thee for the light Thou now givest me, and I promise to change my life. I see that Thou canst not bear with me any longer. I will not wait until Thou O
either dost send me to hell, or dost abandon me to a wicked life, which would be a greater punishment than death itself. Behold, I cast myself at Thy feet; receive me into favor. I do not deserve Thy grace; but Thou hast said : The wickedness of the wicked shall not hurt him in whatsoever day he shall turn from his wickedness (Ezek. xxxiii, 12). If then, O my Jesus! I have hitherto offended Thy infinite goodness, I now repent with my whole heart, and hope for pardon. I will say with St. Anselm : " Ah ! since Thou hast redeemed me by Thy blood, do not permit me to be lost on account of my sins." Look not on my ingratitude; but have regard to the love which made Thee die for me. If I have lost Thy grace. Thou hast not lost the power of restoring it to me. Have mercy on me then, O my dear Redeemer! Pardon me, and give me grace to love Thee ; for I purpose henceforth to love nothing but Thee. Among; so many possible creatures. Thou hast chosen me to love Thee. I make choice of Thee, O Sovereign Good ! to love Thee above every good. Thou goest before me with Thy cross; I am willing to follow Thee with the cross which Thou wilt give me to carry. I embrace every mortification and every pain that comes from Thee. Do not deprive me of Thy grace, and I am content. Mary, my hope! obtain for me from God perseverance and the grace to love him ; and I ask nothing more.
THIRD POINT.
Tardy Regrets of a Dying Person.
he dying man who has neglected the salvation of his soul, will find thorns in everything that is presented to him—thorns in the remembrance of past amusements, rivalries overcome and pomps displayed; thorns in the friends who will visit him, and in whatever their presence shall bring before his mind; thorns in the spiritual Fathers who assist him in turn ; T
thorns in the Sacraments of Penance, Eucharist, and Extreme Unction, which he must receive; thorns even in the crucifix which is placed before him. In that sacred image he will read his want of correspondence to the love of a God who died for his salvation.
O fool that I have been ! the poor sick man will say, with the lights and. opportunities that God has given me, I could have become a saint. I could have led a life of happiness in the grace of God; and after so many years that he gave me, what do I find but torments, distrust, fears, remorse of conscience and accounts to render to God ? I shall scarcely save my soul. And when will he say this ? When the oil in the lamp is on the point of being consumed, and the scene of this world is about to close forever; when he finds himself in view of two eternities, one happy, the other miserable; when he is near that last gasp on which depends his exerlasting bliss or eternal despair, as long as God shall be God. What would he then give for another year, month, or even another week, with the perfect use of his faculties ? In the stupefaction, oppression of the chest, and difficulty of breathing, under which he then labors, he can do nothing; he is incapable of reflection, or of applying his mind to the performance of any good act: he is, as it were, shut up in a dark pit of confusion, where he can see nothing but the ruin which threatens him, and which he feels himself unable to avert. He would wish for time; but the assisting priest shall say to him, Proficiscere; adjust your accounts as well as you, can in the few moments that remain, and depart. Do you not know that death waits for no one, respects no one?
Oh ! with what dismay will he then think and say: This morning I am alive; this evening I shall probably be dead ! To-day I am in this room; to-morrow I shall be in the grave! and where will my soul be found? With what terror will he be seized when he sees the death candle prepared ? When he hears his relatives ordered to withdraw from his apartment, and to return to it no more? When his sight begins to grow dim? Finally, how great will be his alarm and confusion when he sees that, because death is at hand, the candle is lighted? O candle, O candle, how many truths will you then unfold ! How different will you make things appear then from what they appear at present! O how clearly will you show the dying sinner that all the goods of this world are vanities, folly, and lies? But of what use is it to understand these truths when the time is past of profiting by them ?
Affections and Prayers.
h, my God ! Thou wilt not my death, but that I be converted and live. I thank Thee for having waited for me till now, and I thank Thee for the light which Thou givest me at this moment. I know the error I have committed in preferring to Thy friendship the vile and miserable goods for which I have despised Thee. I repent, and am sorry with my whole heart for having done Thee so great an injury. Ah ! do not cease, during the remainder of my life, to assist me by Thy light and grace to know and to do all that I ought to do in order to amend my life. What shall it profit me to know these truths when I shall be deprived of the time in which they may be reduced to practice ? Deliver not up to beasts the souls, that confess to Thee (Ps. lxxiii, 19). When the devil tempts me to offend Thee again, ah! I entreat Thee, my Jesus, through the merits of Thy Passion, to stretch forth Thy hand and to preserve me from falling into sin, and from becoming again the slave of my enemies. Grant that in all temptations I may have recourse to Thee, and that I may not cease to recommend myself to Thee as long as the temptations continue. Thy blood is my hope, and Thy goodness is my love. I love Thee, my God, worthy of infinite love; grant that I may always love Thee. Make A
known to me the things from which I ought to detach my heart, that I may be entirely Thine: I wish to detach my heart from them : but give me strength to execute this desire. O Queen of heaven ! O Mother of God! pray for me, a sinner. Obtain for me the grace that in all temptations I may never omit to have recourse to Jesus and to thee, who, by thy intercession, preserves from falling into sin all who invoke thee.
CONSIDERATION VIII.
The Death of the Just.
" Precious in the sight of the Lord is the death of His saints."— Ps. cxv. 15.
FIRST POINT.
The Death of the Just is a Rest.
IEWED according to the senses, death excites fear and terror; but viewed with the eyes of faith, it is consoling and desirable. To sinners it appears full of terror; but to the saints it is amiable and precious. "It is precious," says St. Bernard, "as the end of labors, the consummation of victory, the gate of life." (In Trans. Mal. s. 1). It is the end of toils and labor. Man, says Job, born of a woman, living for a short time, is filled with many miseries (Job, xiv, 1). Behold a picture of our life: it is short and all full of miseries, of infirmities, of fears, and of passions. What, says Seneca, do worldlings, who desire a long life, seek, but a continuation of torments ? (Ep. ci). What, says St. Augustine, is a prolongation of life, but a prolongation of suffering? (Serm. 84, E.B.). Yes; for, as St. Ambrose tells us, the present life is given us, not for repose, but that we may labor, and by our toils merit eternal glory. (Serm. 42). Hence Tertullian has justly said, V
that when God abridges life he abridges pain. Hence, though man has been condemned to death in punishment of sin, still the miseries of this life are so great, that, according to St. Ambrose, death appears to be a remedy and relief, rather than a chastisement (De Cain et Ab. I, 2, c. 10). God pronounces happy all who die in his grace, because they terminate their labors and go to repose. Blessed are the dead who die in the Lord. From henceforth now saith the spirit, that they may rest from their labors (Apoc. xiv, 13).
The torments which afflict sinners at death do not disturb the peace of the Saints. The souls of the just are in the hands of God, and the torment of death shall not touch them (Wis. Iii, 1). That proficiscere which is so full of terror to worldlings does not alarm the Saints. The just man is not afflicted at the thought of being obliged to take leave of the goods of the earth, for he has always kept his heart detached from them. During life he has constantly said to the Lord: Thou art the God of my heart, and the God that is my portion forever (Ps. lxxii, 26). Happy you, said the Apostle to his disciples, who have been robbed of your goods for the sake of Jesus Christ. You took with joy the being stripped of your goods, knowing that you had a better and a lasting substance (Heb. X, 34). The Saint is not afflicted at bidding an eternal farewell to honors, for he always hated them, and considered them to be what they really are—smoke and vanity. He is not afflicted in leaving relatives, for he loved them only in God, and at death he recommends them to his heavenly Father, who loves them more than he does; and having a secure confidence of salvation, he expects to be better able to assist them from heaven than on this earth. In a word, he who has constantly said during life, My God and my all, continues to repeat it with greater consolation and greater tenderness at the hour of death.
He who dies loving God, is not disturbed by the pains of death; but, seeing that lie is now at the end of life, and that he has no more time to suffer for God, or to offer him other proofs of his love, he accepts these pains with joy. With affection and peace he offers to God these last moments of life, and feels consoled in uniting the sacrifice of his death to the sacrifice which Jesus Christ offered for him on the Cross to his eternal Father. Thus he dies happily, saying: In peace in the self-same I will sleep and I will rest (Ps. iv, 9). Oh ! how great the peace of the Christian who dies abandoned and reposing in the arms of Jesus Christ, who has loved us to death, and has condescended to suffer so cruel a death in order to obtain for us a death full of sweetness and consolation.
Affections and Prayers.
my beloved Jesus ! who, to obtain for me a happy death, hast freely submitted to so painful a death on Calvary, when shall I see Thee? The first time I shall behold Thee. I shall see Thee as my judge in the very place in which I shall expire. What shall I then say? What wilt Thou say to me? I will not wait till that moment to think of what I shall say; I will meditate on it now. I will say to Thee : My Redeemer ! Thou art the God who hast died for me. I have hitherto offended Thee; I have been ungrateful to Thee; I did not deserve pardon, but afterward, assisted by Thy grace, I have entered into myself, and, during the remainder of my life, I have bewailed my sins, and Thou hast pardoned me. Pardon me again, now that I am at Thy feet, and give me a general absolution of all my sins. I did not deserve ever again to love Thee, because I have despised Thy love; but Thou in Thy mercy hast drawn my heart to Thee, so that if I have not loved Thee as Thou deservest, I have at least loved Thee above all things, and have left all to please Thee. I see that Paradise and the possession of Thy divinity in Thy O
kingdom is too much for me; but I cannot live at a distance from Thee, now, especially, after Thou hast shown me Thy amiable and beautiful countenance. I therefore ask for Paradise, not to enjoy greater delights, but to love Thee more perfectly. Send me to Purgatory as long as Thou pleasest. Defiled as I am at present, I do not wish to enter into the land of purity, and to see myself among those pure souls. Send me to be purified; but do not banish me forever from Thy presence. I shall be content to be one day, whenever Thou pleasest, called to Paradise to sing Thy mercies for all eternity. Ah. my beloved Judge ! raise Thy hand and bless me ; tell me that I am Thine, and that Thou art and shall be forever mine. I will always love Thee, and Thou wilt forever love me. Behold, I go to a distance from Thee; I go into fire: but I go in peace, because I go to love Thee, my Redeemer, my God, my all! I am content to go; but during my absence from Thee, I go, O Lord ! to count the moments that will elapse before Thou callest me. Have mercy on a soul that loves Thee with all its power, and that sighs to see Thee, that it may love Thee better.
This I hope, O my Jesus! to say to Thee at death. I entreat Thee to give me the grace to live in such a manner that I may then say to Thee what I have now thought. Give me holy perseverance, give me Thy love. Assist me, O Mary! Mother of God, pray to Jesus for me.
SECOND POINT.
The Death of the Just is a Victory.
od shall wipe away all tears from their eyes; and d eath shall be no more (Apoc. Xxi, 4). Then, at death the Lord will wipe away from the eyes of his servants all the tears that they have shed in this world, where they live in the midst of pains, of fears, of G
dangers, and of combats with hell. The greatest consolation which a soul that has loved God will experience in hearing the news of death, will arise from the thought that it will soon be delivered from the many dangers of offending God, to which it is exposed in this life, from so many troubles of conscience, and from so many temptations of the devil. The present life is an unceasing warfare with hell, in which we are in continual danger of losing our souls and God. St. Ambrose says that in this life we walk among snares : we walk continually amid the snares of enemies, who lie in wait to deprive us of the life of grace. It was this danger that made St. Peter of Alcantara say at death to a religious who, in attending the Saint, accidentally touched him: "Brother, remove, remove from me; for I am still alive, and am still in danger of being lost." The thought of being freed by death from the danger of sin consoled St. Teresa, and made her rejoice as often as she heard the clock strike, that another hour of the combat was passed. Hence she would say: "In each moment of life I may sin and lose God." Hence, the news of approaching death filled the Saints with consolation; because they knew that their struggles and dangers were soon to have an end, and that they would soon be insecure possession of that happy lot in which they could never more lose God.
It is related in the lives of the Fathers, that one of them who was very old, when dying, smiled while the others wept. Being asked why he smiled, he said: " Why do you weep at seeing me go to rest ?" (Lib. 5, l. 11, n. 52). Likewise St. Catharine of Sienna in her last moments said: "Rejoice with me; for I quit this land of pains, and go to a place of peace." If, says St. Cyprian, you lived in a house whose walls, and roof, and floors were tottering, and threatened destruction, how ardently would you desire to fly from it! In this life everything menaces the ruin of the soul; the world, hell, the passions, the rebellious senses, all draw us to sin and eternal death. Who, exclaimed the Apostle, shall deliver me from the body of this death ? (Rom. vii, 24). Oh ! how great will be the joy of the soul in hearing these words: "Come, my spouse, depart from that land of tears, from the dens of lions who seek to devour you, and to rob you of the divine grace." (Cant. iv, 8). Hence, St. Paul, sighing for death said that Jesus Christ was his only life; and therefore he esteemed death his greatest gain, because by death he acquired that life which never ends. To me, to live is Christ, and to die is gain. (Phil. 1, 21).
In taking a soul while it is in the state of grace out of this world, where it may change its will and lose his friendship, God bestows on it a great favor. He was taken away lest wickedness should alter his understanding (Wis. iv, 11). Happy in this life is the man that lives in union with God; but, as the sailor is not secure until he has arrived at the port and escaped the tempest, so the soul cannot enjoy complete happiness until it has left this world in the grace of God. "Praise," says St. Maximus, "the felicity of the sailor: but not until he has reached the port" (In Nativ. D. Eus. hom. 2). Now, if at his approach to the port the sailor rejoices, how much greater ought to be the joy and gladness of a Christian who is at the point of securing eternal salvation ?
Moreover, it is impossible in this life to avoid all venial sins. For, says the Holy Ghost, a just man shall fall seven times (Prov. xxiv, 16). He who quits this life ceases to offend God. " For," says St. Ambrose, " what is death but the burial of vices?" (De Bon. Mort. c. 4). This consideration makes the souls that love God long for death. The Venerable Vincent Caraffa consoled himself at death, saying: " By ceasing to live, I cease forever to offend God." And St. Ambrose said: " Why do we desire this life, in which, the longer we live, the more we are loaded with sins?" (Ibid. c. 2). He who dies in the grace of God can never more offend him, says the same holy doctor (In Ps. cxviii, s. 18). Hence, the Lord praises the dead more than any man living, though he be a saint (Eccles. iv, 2). A certain spiritual man gave directions that the person who should bring him the news of death, should say: "Console yourself; for the time has arrived when you will no longer offend God."
Affections and Prayers.
nto Thy hands, I commend my spirit; Thou hast redeemed me, O Lord, the God of truth. (Ps. xxx, 6). Ah, my sweet Redeemer! what should become of me If Thou hadst deprived me of life when I was far from Thee? I should now be in hell, where I could never love Thee. I thank Thee for not having abandoned me, and for having bestowed on me so many great graces in order to gain my heart. I am sorry for having offended Thee. I love Thee above all things. Ah ! I entreat Thee to make me always sensible of the evil I have done in despising Thee, and of the love which Thy infinite goodness merits. I love Thee; and I desire to die soon, if such be Thy will, that I may be freed from the danger of ever again losing Thy grace, and that I may be secure of loving Thee forever. Ah, my beloved Jesus! during these remaining years of my life, give me strength to do something for Thee before I die. Give me strength against all temptations, and against my passions, but particularly against the passion which has hitherto most violently drawn me to sin. Give me patience in all infirmities, and under all the injuries which I may receive from men. I now, for the love of Thee, pardon all who have shown me any contempt, and I beg of Thee to bestow upon them the graces which they stand in need of. Give me strength to be more diligent in avoiding even venial faults, about which I have been hitherto negligent. My Saviour! assist me. I hope for all I
graces through Thy merits. O Mary, my Mother, and my hope! I place unbounded confidence in thee.
THIRD POINT.
The Death of the Just is the Entrance to Life.
eath is not only the end of labors, but it is also the gate of life, says St. Bernard . He who wishes to see God must necessarily pass through this gate. This is the gate of the Lord; the just shall enter into it (Ps. cxvii, 20). St. Jerome en treated death to open its gates to him. " Death, my sister, if you do not open the door to me, I cannot enter to enjoy my Lord." (In Ep. Eus. ad Dam.). Seeing in his house a picture which represented a skeleton with a scythe in the hand, St. Charles Borromeo sent for a painter, and ordered him to erase the scythe, and to paint a golden key, in order that he might be more and more inflamed with a desire of death, which opens Paradise, and admits us to the vision of God. D
If, says St. John Chrysostom, a king had prepared for one of his subjects apartments in his own palace, but for the present obliged him to live in a tent, how ardently would the vassal sigh for the day on which he should leave the tent to enter into the palace ! In this life the soul, being in the body, is as it were confined in a prison, which it must leave in order to enter the celestial palace. Hence, David prayed to the Lord to bring his soul out of prison (Ps. cxli, 8). When the holy Simeon held the infant Jesus in his arms, he asked no other grace than to be delivered from the prison of the present life. " Now thou dost dismiss thy servant, O Lord." (Luke ii, 29). "As if detained by neccessity, he," says St. Ambrose, "begs to be dismissed." The Apostle desired the same grace when he said : I am straitened, having a desire to be dissolved, and to be with Christ (Phil. I, 23).
How great was the joy of the cup-bearer of Pharaoh when he heard from Joseph that he should soon be rescued from the prison and restored to his situation ! And will not a soul that loves God exult with gladness at hearing that it will soon be released from the prison of this earth, and go to enjoy God ? "While we are in the body, we are absent from the Lord." (2 Cor. v. 6). While the soul is united to the body, it is at a distance from the vision of God, as if in a strange land, and excluded from its true country. Hence, according to St. Bruno, the departure of the soul from the body should not be called death, but the beginning of life." (De Virginit.).
Hence, the death of the Saints is called their birthday; because at death they are born to that life of bliss which will never end. St. Athanasius says: "To the just, death is only a passage to eternal life." "O amiable death," says St. Augustins, " who will not desire thee, who art the end of evils, the close of toils, the beginning of everlasting repose ?" (De Vis. inf., l. 1, c. 6). Hence the holy Doctor frequently prayed for death, that he might see God.
The sinner, as St. Cyprian says, has just reason to fear death ; because he will pass from temporal to eternal death (De Mortal.). But he who is in the state of grace, and hopes to pass from death to life, fears not death. In the life of St. John the Almoner, we read that a certain rich man recommended to the prayers of the Saint an only son, and gave the Saint a large sum of money to be distributed in alms, for the purpose of obtaining from God a long life for his son. The son died soon after; but when the father complained of his death, God sent an Angel to say to him: "You sought for your son a long life: he now enjoys eternal life in heaven." This is, as was promised by the Prophet Osee, the grace which Jesus Christ merited for us. O death, I shall be thy death (Osee, xiii, 41). By dying for us, Jesus has changed death into life. When Pionius, the Martyr, was brought to the stake, he was asked by those who conducted him, how he could go to death with so much joy. " You err," replied the Saint: " I go not to death, but to life." (Ap Eus. 1, iv, c. 14). Thus, also, the mother of the youthful St. Symphorian exhorted him to martyrdom. "My son," said she, "life is not taken away from you; it is only exchanged for a better one."
Affections and Prayers.
God of my soul! I have hitherto dishonored Thee by turning my back upon Thee; but Thy Son has honored Thee by offering to Thee the sacrifice of his life on the cross. Through the honor which Thy beloved Son has given Thee, pardon the dishonor which I have done Thee. I am sorry, O Sovereign Good ! for having offended Thee ; and I promise henceforth to love nothing but Thee. From Thee I hope for salvation : whatever good is in me at present is the fruit of Thy grace; to Thee I ascribe it all. By the grace of God, I am what I am (1 Cor. xv, 10). If I have hitherto dishonored Thee, I hope to honor Thee for eternity by blessing and praising Thy mercy forever. I feel a great desire to love Thee. This Thou hast given me: I thank Thee for it, O my love ! Continue, continue the aid which Thou hast begun to give me. I hope to be henceforth Thine, and entirely Thine. And what greater pleasure can I enjoy than that of pleasing Thee, my Lord ! who art so amiable, and who hast loved me so tenderly! O my God! I ask only love, love, love; and hope always to ask of Thee, love, love, until, dying in Thy love, I reach the kingdom of love, where, without evermore asking it, I shall be full of love, and never for a single moment cease to love Thee for all eternity, and with all my strength. Mary, my mother! who lovest thy God so intensely, and who desirest so vehemently to see him loved, obtain for me the grace to love him ardently in this O
life, that I may love him ardently forever in the next.
CONSIDERATION IX.
Peace of the Just at the Hour Death.
" The souls of the just are in the hands of God, and the torment of death shall not touch them. In the sight of the unwise they seemed to die ; but they are in peace."—Wis. iii. I, etc.
FIRST POINT.
The Just have nothing to fear at the Hour of Death.
he souls of the just are in the hands of God. If God holds fast in his hands the souls of the just, who can snatch them from him ? It is true that hell does not cease to tempt and attack even the Saints at the hour of death; but it also true that God does not cease to assist, and to multiply helps to his faithful servants, whenever their danger is increased. There, says St. Ambrose, There is greater aid, where there is greater peril, because God is a helper in due time (De Jos. patr.. c. 5). David also assures us in the Psalms : A helper in time of tribulation (Ps. ix, 10). The servant of Eliseus was struck with terror when he saw the city encompassed with enemies; but the Saint inspired him with courage, saying: Fear not: for there are more with us than with them (4 Kings, vi, 16). He then showed him an army of Angels sent by God to defend the city. The devil will come to tempt the dying Christian; but his angel-guardian will come to strengthen him: his holy advocates will come—St. Michael, whom God has appointed to defend his faithful servants in their last combat with hell, will come; the divine Mother will come to chase away the devils, and to: protect her T
servant; above all, Jesus Christ will come to: guard against every temptation of hell, the innocent or penitent sheep for whose salvation he has given his life. He will give that confidence and strength of which the soul shall stand in need in that last struggle with its enemies. Hence, full of courage, it will say: The Lord became my helper (Ps. xxix, 11). The Lord is my light and my salvation ; whom shall I fear ? (Ps. xxvi, 1). God, says Origen, is more solicitous for our salvation than the devil is for our perdition; for the Lord loves our souls far more than the devil hates them (In Num. Hom. 20). God is faithful, says the Apostle; he does not permit us to be tempted above our strength (1 Cor. x, 13). But you will say: Many Saints have died with great fear of being lost, I answer: We have but few examples of persons who, after leading a holy life, died with fears for their eternal salvation. Belluacensis says that, to purify them at the hour of death from some defect, God sometimes permits holy souls to be disturbed by such fears (Spec. mor. 1, 2; p. 1, d. 3). But generally the servants of God have died with a joyful countenance. At death the judgment of God excites fear in all; but if sinners pass from terror to despair, the Saints rise from fear to confidence, St. Antonine relates that in a severe illness, St. Bernard trembled through fear of judgment, and was tempted to despair. But thinking of the merits of Jesus Christ, he drove away all fear, saying to his Saviour: Thy wounds are my merits. St. Hilarion also was seized with fear; but he said: "Go forth, my soul; what do you fear? For near seventy years you have served Christ; and are you now afraid of death?"' As if he said: My soul, what do you fear? have you not served a God who is faithful, and knows not how to abandon at death the Christian who has been faithful to him during life ? Father Joseph Scamacca, of the Society of Jesus, being asked if in dying he felt confidence in God, said: "Have I served Mahomet, that I should now doubt of the goodness of my God, or of his desire to save me ?
Should the thought of having offended God at some time of our life molest us at death, let us remember that he has protested that he forgets the iniquities of all penitent sinners. If the wicked do penance,—I will not remember all his iniquities (Ezek. xviii, 21). But you may ask: How can I be secure of having received pardon from God ? St. Basil asks the same question: " How can any one be certain that God has forgiven his sins?" "He can be certain of pardon," answers the Saint, "if he say: I have hated and abhorred iniquity." (Reg. brev. interr. 12). He who detests sin, can rest secure of having obtained pardon from God The heart of man cannot exist without loving some object; it must love creatures or God. If it loves not creatures, it loves God. And who are they that love God ? All who observe his commands. He that hath my commandments, and keepeth them, he it is that loveth me (John, xiv, 21). He then who dies in the observance of the commandments, dies in the love of God; and he that loves fears not. Charity casteth out fear (1 John, iv, 18).
Affections and Prayers.
h, my Jesus! when will the day arrive on which I can say: My God ! I can never lose Thee ? When shall I see Thee face to face, and be sure of loving Thee with all my strength for eternity ? Ah, my Sovereign Good, my only love ! as long as I have life, I shall be in danger of offending Thee and of losing Thy grace. There has been an unhappy time when I did not love Thee, but, on the contrary, despised Thy love. I am sorry for it with my whole soul, and hope that Thou hast already pardoned me. I now love Thee with my whole heart, and desire to do all in my power to love and please Thee. But I am still in danger of refusing Thee my love, and of again turning my back upon Thee. Ah, my Jesus, my life and my treasure ! do not permit it. Should this misfortune ever happen to A
me, take me this moment out of life by the most cruel of deaths; I am content to suffer such a death, and I entreat Thee to send me such a death, sooner than permit me ever to cease to love Thee. Eternal Father! for the love of Jesus Christ, do not abandon me to so great an evil. Chastise me as Thou wishest, I deserve and accept any chastisement Thou pleasest to inflict upon me: but preserve me from the punishment of seeing myself deprived of Thy grace and of Thy love. My Jesus! recommend me to Thy Father. Mary, my Mother ! recommend me to thy Son ; obtain for me perseverance in his friendship, and the grace to love him; and then do with me what thou pleasest.
SECOND POINT.
The Just Die in a Sweet Peace.
he souls of the just are in the hand of God, and the torment of death shall not touch them. In the sight of the unwise they seemed to die; . . . but they are in peace (Wis. iii, 1). In the eyes of the unwise the servants of God appear to die, as worldlings do, in sorrow and with reluctance. But God knows well how to console his children in their last moments; and even in the midst of the pains of death he infuses into their souls certain sweetnesses, as foretastes of Paradise, which he will soon bestow upon them. As they who die in sin begin to experience on the bed of death certain foretastes of hell, certain remorse, terrors, and fits of despair; so, on the other hand, the Saints, by the frequent acts of divine love which they then make, by their ardent desire and firm hope of soon possessing God, begin to feel that peace which they will afterwards fully enjoy in heaven. To the Saints death is not a punishment, but a reward. When He shall give sleep to His beloved, behold the inheritance of the Lord (Ps. cxxvi, 2). The death of the Christian that T
loves God is called, not death, but sleep, thus he shall be able to say less, In peace in the selfsame I will sleep and I will rest (Ps. iv, 9).
Father Suarez died with so much peace, that in his last moments he exclaimed: "I could never imagine that death would be so sweet." When Cardinal Baronius was advised by his physician not to fix his thoughts so much on death, he said: "Perhaps you think I am afraid of death. I fear it not; but, on the contrary, I love it." In going to death for the faith, the Cardinal of Rochester, as Saunders relates, put on his best clothes, saying that he was going to a nuptial feast. Hence at the sight of the scaffold he threw away his staff, and said: "O my feet! walk fast; we are not far from Paradise." Before death he intoned the "Te Deum," to thank God for giving him the grace to die a martyr for the holy faith ; and, full of joy, he laid his head on the block. St. Francis of Assisi began to sing at the hour of death, and invited the brethren to join him. Brother Elias said to him : "Father, at death we ought rather to weep than to sing." "But," replied the Saint, "I cannot abstain from singing; for I see that I shall soon go to enjoy my God." A young nun of the order of St. Teresa, in her last illness said to her sisters in religion who stood round her bed bathed in tears : " O God ! why do you weep ? I go to enjoy my Jesus. If you love me, rejoice with me."
Father Granada relates that a certain sportsman found a solitary infected with leprosy, singing in his last agony. "How," said the sportsman, "can you sing in such a state?" "Brother," replied the hermit, "between me and God there is nothing but the wall of this body. I now see that my flesh is falling off—that the prison will soon be destroyed, and that I shall go to see my God. It is for this reason that I rejoice and sing." The desire of seeing God made St. Ignatius the Martyr say that if the wild beasts should not take away his life he would provoke them to devour him. St. Catharine of Genoa could not bear to hear death called a misfortune. Hence she would say : "Oh ! beloved death, in what a mistaken light are you viewed ! Why do you not come to me ? I call on you night and day." St. Teresa desired death so vehemently that she regarded the continuation of life as death : hence she composed the celebrated hymn, I die because I do not die. Such is death to the Saints.
Affections and Prayers.
h, my supreme good, my God ! if for the past I have not loved Thee, I now turn to Thee with my whole soul. I take leave of all creatures, and choose Thee, my most amiable Lord ! for the sole object of my love. Tell me what Thou wishest from me: I will do all Thou desirest. I have offended Thee enough I wish to spend all the remaining moments of life in pleasing Thee. Give me grace to compensate by my love my past ingratitude, which has continued to this moment. I deserve to burn in the fire of hell for so many years; Thou hast sought after me, and hast drawn me to Thyself. Make me now burn with the fire of Thy holy love. I love Thee, O Infinite Goodness ! Thou justly claimest all the affections of my heart; for Thou hast loved me more than all others have loved me. Thou alone deservest my love; Thou only do I wish to love. I desire to do everything in my power to please Thee. Do with me whatsoever Thou wishest. For me it is enough to love Thee and to be loved by Thee. Mary, my Mother! assist me; pray to Jesus for me. A
THIRD POINT.
The Just in Dying have a Foretaste of Celestial Joy.
nd how can he fear death, says St. Cyprian, who hopes to receive a kingly crown in Paradise! " Let us not be afraid to be put to death when we are certain that we shall be crowned after death" (Epis. Ad Thibar.). How can he fear death when he knows that by dying in the state of grace his body will become immortal ? This mortal must put on immortality (1 Cor. xv, 55). He that loves God and desires to see him, regards life as a punishment and death as a source of joy, says St. Augustine. And St. Thomas of Villanova says that death, if it finds a man sleeping, comes like a thief, robs him, kills him, and casts him into the pit of hell. But if it finds him watching, it comes as an ambassador from God, and salutes him, saying: " The Lord expects you to the nuptial feast: come ; I will conduct you to the happy kingdom for which you sigh." A
Oh ! with joy does he expect death who finds himself in the grace of God, and hopes soon to see Jesus Christ, and to hear from him these consoling words: Well done, good and faithful servant; because thou hast been faithful over a few things, I will place thee over many (Matt. xxv, 21). Oh, what consolation will he then receive from his works of penance, his prayers, his detachment from earthly goods, and from all he has done for God ! Say to the just man, that it is well; for he shall eat the fruit of his doings (Isa. iii, 10). Then he who has loved God will taste the fruit of all his holy works. Hence, in hearing that a religious, his friend, died in sentiments of fervent piety, Father Hyppolitus Durazzo, of the Society of Jesus, wept not, but exulted with joy and gladness. But, says St. John Chrysostom, would it not be most unreasonable to believe that heaven is eternal, and to pity those who go to that kingdom of delights? (Ad Vid. jun. tr. 1). What special consolation will the just man receive at the hour of death from the devotions performed in honor of the Mother of God, from the Rosaries he has recited, from his visits to her image, from his fasts on Saturdays, from his frequent attendance at her Confraternities ! Mary is called the faithful Virgin, Oh, how great is her fidelity in consoling her faithful servants at the hour of death! A certain person devoted to the Most Holy Virgin said in his last moments to Father Binetti: " Father, you cannot conceive the consolation which the thought of having served Mary infuses at the hour of death. O my Father! if you knew the happiness I feel on account of having served this Mother. I am not able to express it." How great will be the joy of him who has loved Jesus Christ—who has often visited him in the Most Adorable Sacrament, and has often received him in the Holy Communion, when he sees his Lord entering his room in the Most Holy Viaticum, and coming to accompany him in his passage to eternity! Happy he who will then be able, with St. Philip Neri, to say to his Saviour: " Behold my love! Behold my love ! Give me my love."
But you will, perhaps, say: Who knows what shall be my lot ? Who knows but I shall die an unhappy death? Of you who speak in this manner, I ask what is it that causes a bad death ? Nothing but sin. We should then fear sin only, and not death. "It is clear," says St. Ambrose, " that it is not death that is bitter, but sin; our fears ought not to be of death, but of life" (De bon. Mort. C. 8). If, then, you desire not to fear death, lead a holy life. With him that feareth the Lord, it shall go well in the latter end (Eccles. 1, 13).
Father Saint Colombiere held it to be morally impossible that the man who has been faithful to God during life should die a bad death. And before him, St Augustine said: " He who has lived well cannot die badly. He who is prepared to die fears no death, however sudden.' (De Disc. chr., c. 12). The just man, if he be prevented with death, shall be in rest (Wis. iv, 7). Since we cannot go to enjoy God without passing through death, St. John Chrysostom exhorts us to offer to God what we are obliged to give him (Op. imp. In Matth. Hom. 25). And let us be persuaded that they who offer their death to God, make the most perfect act of divine love which it is in their power to perform; because, by cheerfully embracing that kind of death which God is pleased to send, and at the time and in the manner in which God sends it, they render themselves like the holy martyrs. He who loves God should desire and sigh after death; because it unites him forever to God, and delivers him from the danger of losing God. He who does not desire to see God speedily, and to be secure against the possibility of ever losing God, shows that he has but little love for God. Let us, during life, love him to the utmost of our power. We should make use of life only to advance in divine love: the measure of our love of God at death will be the measure of our love for him in a happy eternity.
Affections and Prayers.
y Jesus! bind me to Thyself so that I may never more be separated from Thee. Make me entirely Thine before I die, that I may see Thee appeased, O my Redeemer! the first time I behold Thee. Thou didst seek after me when I fled away from Thee : ah! do not cast me off, now that I seek after Thee. Pardon me all the offences I have given Thee. From this day I will think only of serving and loving Thee. Thou hast laid me under too many obligations; Thou hast not refused to give Thy blood and Thy life for the love of me. I would wish to be entirely consumed for the love of Thee. O God of my soul! I wish to love Thee ardently in this life, that I may love Thee ardently in the next. Eternal Father! draw my whole heart to Thee: detach it from earthly affections: wound and inflame my whole soul with Thy holy love. Through the merits of Jesus Christ, hear my prayers. Give me holy M
perseverance, and grant me the grace always to ask it of Thee. Mary, my Mother! assist me, and obtain for me the grace to ask unceasingly of thy Son the gift of holy perseverance.
CONSIDERATION X.
Means of preparing for Death.
" Remember thy last end, and thou shall never sin."—Eccl. vii, 40.
FIRST POINT.
Not to Wait till the Last Moment.
LL confess that they must die, and die only once, and that nothing is of greater importance than to die well ; because on death depends whether we shall be forever in bliss or forever in despair. All know that our eternal happiness or our eternal unhappiness depends on leading a good or a bad life. How then does it happen that the greater part of Christians live as if they were never to die, or as if to die well or ill were of little moment! They live in sin because they do not think of death. Remember thy last end, and thou shall never sin (Ecclus. Vii, 40). We must be persuaded that the hour of death is not fit for settling the accounts of the soul, and securing the great affair of eternal salvation. In worldly matters prudent men take measures in due time to secure temporal gain—to obtain a situation of emolument. To preserve or restore bodily health the necessary remedies are hot deferred a single moment. What would you say of the man who should put off his preparation for a trial on which his life depended till the day of trial arrived? Would you not stigmatize as a fool the general who should not begin to lay in a supply of provisions and arms till the city A
is besieged ? Would it not be folly in a pilot to neglect till the time of the tempest, to provide the vessel with an anchor and a helm? Such precisely is the folly of the Christian who neglects to tranquillize his conscience till death arrives.
When sudden calamity shall fall on you, and destruction, as a tempest, then shall they call upon me, and I will not hear. . . . Therefore they shall eat the fruit of their own way," (Prov. I, 27). The time of death is a time of storm and confusion. At that awful hour sinners call on God for assistance; but they invoke his aid through the fear of hell, which they see at hand, and not with true contrition of heart. It is for this reason that God is deaf to their cry ; it is for this reason also that they will then taste the fruit of their wicked life. What they have sown they shall reap (Gal. vi, 8). Ah ! it will not then be enough to receive the Sacraments ; it is necessary at death to hate sin, and to love God above all things. But how can he, then, hate forbidden pleasures, who has loved them till that moment? How can he love God above all things, who has till then loved creatures more than he has loved God ?
The Lord called the virgins foolish who wished to prepare their lamps when the bridegroom was nigh. All have a horror of a sudden death, because there is no time to settle the accounts of conscience. All confess that the Saints have been truly wise, because they prepared for death during life. And what are we doing? Shall we expose ourselves to the danger of preparing for death when it arrives? We ought to do at present what we shall then wish to have done. Oh ! what pain will then arise from the remembrance of time lost, and still more from the remembrance of time spent in sin : time given by God to merit eternal life ; but now past, and never to return! What anguish will the sinner feel when he shall be told : You can be steward no longer! (Luke, xvi, 2). There is no more time for doing penance, for frequenting the sacraments, for hearing sermons, for visiting Jesus Christ in the Holy Sacrament, or for prayer. What is done is done. To make a good confession, to remove several grievous scruples, and thus tranquillize the conscience, would require a better state of mind and time more free from confusion and agitation. But time will be no more (Apoc. X, 6).
Affections and Prayers.
h, my God ! had I died on one of the nights known to Thee, where should I be at present ? I thank Thee for having waited for me; I thank Thee for all those moments which I should have spent in hell from the first moment that I offended Thee. Ah! give me light, and make me sensible of the great evil I have done Thee in voluntarily losing Thy grace, which Thou didst merit for me by the sacrifice of Thy life on the cross. Ah ! my Jesus, pardon me : I am sorry from the bottom of my heart, and above all things, for having despised Thee, who art infinite goodness. Ah! assist me, O my Saviour! that I may never lose Thee again. Alas, my Lord! if I return again to sin, after so many lights and graces which Thou hast bestowed upon me, I should deserve a hell to be made on purpose for myself. Through the merits of that blood which Thou hast shed for my sake, do not permit me ever more to offend Thee. Give me holy perseverance, give me Thy love. I love Thee, and I will never cease to love Thee till death. My God, have mercy on me for the love of Jesus Christ. O Mary, my hope! do thou too have pity on me; recommend me to God: thy recommendations are never rejected by that God who loves thee so tenderly. A
SECOND POINT.
Put Our Conscience in a Good State, and Regulate Our
Lives.
rother, since it is certain that you will die, go as soon as possible to the foot of the crucifix; thank your crucified Redeemer for the time which in his mercy he gives you to settle the affairs of your conscience; and then review all the irregularities of your past life, particularly of your youth. Cast a glance at the commandments of God: examine yourself on the duties of the State of life in which you have lived, and on the society you have frequented: mark down in writing the sins you have committed; make a general confession of your whole life, if you have not as yet made one. Oh ! how much does a general confession contribute to regularity of life in a Christian ! Consider that you have to settle accounts for eternity; and take care to adjust them as if you were on the point of rendering these accounts to Jesus Christ at judgment. Banish from your heart every sinful affection, and every sentiment of rancor ; remove every ground of scruple on account of the injury done to the property or character of others, or of scandal to your neighbor; and resolve to fly from all those occasions in which you should be in danger of losing God. Remember that what now seems difficult will appear impossible at the hour of death. B
It is still more important for you to resolve to practice the means of preserving your soul in the grace of God. These means are,—hearing Mass every day, the meditation on the eternal truths, the frequentation of the Sacraments of Penance and Eucharist at least every eight days, the visit every day to the Most Holy Sacrament, and to an image of the divine Mother, attendance at her confraternity, spiritual reading, examination of conscience every evening, some special devotion to the Blessed Virgin, along with fasting every Saturday in her honor Above all, resolve to recommend yourself frequently to God and to the Blessed Virgin, and frequently to invoke, in the time of temptations, the sacred names of Jesus and Mary. These are the names by which you will be able to secure a happy death, and to obtain eternal life.
The practice of these means will be for you a great sign of your predestination. And as to the past, trust in the blood of Jesus Christ, who now gives you these lights, because he desires your salvation; and trust in the intercession of Mary, who obtains these lights for you. Oh ! if you adopt this mode of life, and place great confidence in Jesus and Mary, what aid will you receive from God, and what strength will your soul acquire ! Dearly beloved reader, give yourself then instantly to God, who invites you, and begin to enjoy that peace of which you have been hitherto deprived through your own fault. And what greater peace can a soul enjoy than to be able to say, in going to rest at night. Should death come this night, I hope to die in the grace of God! How happy the man who, amid the terrors of thunder or of earth quakes, is prepared to accept death with resignation, should God be pleased to send it!
Affections and Prayers.
Ah, my Lord! with what fervor do I thank Thee for the light which Thou gavest me! I have so often abandoned Thee and turned my back upon Thee: but Thou hast not abandoned me. Hadst Thou abandoned me I should now be blind, as I have hitherto wished to be; I should be obstinate in my sins, and should not have the desire either to renounce sin or to love Thee. I now feel a great sorrow for having offended Thee, a great desire to be in the state of grace. I feel a hatred of these accursed delights which have made me lose Thy friendship. These sentiments are all graces which come from Thee, and make me hope that Thou wilt pardon and save me. Since, then, after all my sins, Thou hast not abandoned me— since Thou now wishest to save me, behold, O Lord ! I give myself entirely to Thee. I am sorry, above all things, for having offended Thee; and I propose to lose life a thousand times rather than forfeit Thy grace. I love Thee, O my sovereign Good ! I love Thee, O my Jesus ! who hast died for me; and I hope in Thy blood, that Thou wilt not permit me to be ever again separated from Thee. O my Jesus ! I will never more lose Thee. I wish to love Thee always during life. I wish to love Thee at death. I wish to love Thee for all eternity. Preserve me then, O Lord ! at all times, and increase my love for Thee. This favor I ask through Thy merits. Mary, my hope! pray to Jesus for me.
THIRD POINT.
We must Detach Ourselves from the World.
t is also necessary to endeavor to be at all times in the state in which we desire to be at death. Blessed are he dead who die in the Lord (Apoc. Xiv, 13). St. Ambrose says that they die well who, at the hour of death, are found dead to the world; that is, detached from the goods from which death will separate us by force. We ought then, from this moment, to accept the spoliation of our goods, and the separation from relatives and from everything in this world. Unless we do it voluntarily during life, we shall have to do it through necessity at death, but with extreme pain and great danger of eternal perdition. Hence St. Augustine says, that to settle during life all temporal matters, and dispose by will of all the goods we shall have to bequeath, contribute greatly to a tranquil death; because when all worldly affairs are already adjusted, the soul may be entirely occupied in uniting itself to God. At that hour, we should think and speak only of God and of Paradise. These last moments are too precious to be squandered in I
earthly thoughts. At death is completed the crown of the elect; for it is then, perhaps, that they reap the greatest harvest of merits, by embracing, with resignation and love, death and all its pains.
But the Christian who has not been in the habit of exciting these sentiments during life, will not have them at the hour of death. Hence some devout souls, with great spiritual profit to themselves, are accustomed to renew every month, after being at confession and Communion, the Protestation of death along with the Christian acts, imagining themselves at the point of death, and to be near their departure from this world. Unless you do this during life you will find it very difficult to do it at death. In her last illness, that great servant of God, Sister Catharine of St. Alberts, of the order of St. Teresa, sent forth a sigh, and said, " Sisters, I do not sigh through fear of death, for I have lived for twenty-five years in expectation of it; but I sigh at the sight of so many deluded Christians, who spend their life in sin, and reduce themselves to the necessity of making peace with God at death, when I can scarcely pronounce the name of Jesus." Examine then, O my brother, if you are now attached to anything on this earth, to any person, to any honor, to your house, to your money, to conversations or amusements; and reflect that you are not immortal. You must one day, and perhaps very soon, take leave of them all. Why then do you cherish any attachment to them, and thus expose yourself to the risk of an unhappy death? Offer from this moment all to God: tell him you are ready to give up all things whenever he pleases to deprive you of them. If you wish to die with resignation you must from this moment resign yourself to all the contradictions and adversities which may happen to you, and must divest yourself of all affections to earthly things. Imagine yourself on the bed of death, and you will despise all things in this world. " He," says Jerome, "who always
thinks that he is to die, easily despises all things." (Ep. ad Paulin).
If you have not yet chosen a state of life, make choice of that state of life which at death you will wish to have selected, and which will make you die with greater peace. If you have already made choice of a state of life, do now what at death you will wish to have done in that state. Spend every day as if it were the last of your life; and perform every action, every exercise of prayer, make every confession and Communion, as if they were the last of your life. Imagine yourself every hour at the point of death, stretched on a bed, and that you hear that Proficiscere de hoc mundo which announces your departure from this world. Oh ! how powerfully will this thought assist you to walk in the way of God, and to detach your heart from this earth ! Blessed is that servant whom, when his Lord shall come, he shall find him so doing (Matt. xxiv, 46). He who expects death every hour will die well, though death should come suddenly upon him.
Affections and Prayers.
very Christian ought to be prepared to say at the moment the news of death is announced to him : Then, my God, only a few hours remain; during the short remainder of the present life, I wish to love Thee to the utmost of my power, that I may love Thee more perfectly in heaven. But little remains for me to offer to Thee. I offer Thee these pains, and the sacrifice of my life in union with the sacrifice which Jesus Christ offered for me on the Cross. Lord ! the pains which I suffer are few and light compared with what I have deserved; such as they are, I embrace them as a mark of the love which I bear Thee. Provided I am to love Thee for eternity, I resign myself to all the punishments which Thou wishest E
to send me in this or the next life. Chastise me as much as Thou pleasest, but do not deprive me of Thy love. I know that, on account of having so often despised Thy love, I deserved never more to love Thee; but Thou canst not reject a penitent soul. I am sorry, O Sovereign Good! for having offended Thee. I love Thee with my whole heart, and place all my trust in Thee. Thy death, O my Redeemer ! is my hope. To Thy wounded hands I recommend my soul. Into Thy hands I commend my spirit: Thou hast redeemed me, O Lord, the God of Truth (Ps. xxx, 6). O my Jesus, Thou hast given Thy blood for my salvation: do not suffer me to be separated from Thee. I love Thee, O eternal God, and hope to love Thee for eternity. Mary, my Mother, assist me at the awful moment of death. To thee I now consign my spirit; to thee I recommend myself. Deliver me from hell.
>>second part follows>>
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The BAD Calendar
July, 2005
4 BAD boats in Clear Lake for Fireworks display-Beverly Cutler
5 BAD BOD Meeting
16,17 BAD's Annual Camping, Picnic &
Treasure Hunt at Blue Lagoon, Beverly
Cutler
27 BAD General Membership Meeting
August, 2005
1-5 Jamacia– Bill Jones
2 BAD BOD Meeting
8-12 Cozumel Trip-Bill Jones
20 Behind the scenes tour of the Moody
Gardens Aquarium
24 BAD General Membership Meeting
September, 2005
6 BAD BOD Meeting
28 BAD General Membership Meeting
October, 2005
1 Trashfest
4 BAD BOD Meeting
3-7 DEMA—Las Vegas
15 BAD Flea Market
22-29CoCo View-Randy Widaman
26 BAD General Membership Meeting
November, 2005
8 BAD BOD Meeting
24 Happy Thanksgiving
30 BAD General Membership Meeting
December, 2005
8 BAD BOD Meeting
25 Merry Christmas
Have an event you want to lead, contact the Board for more details.
July Guest Speaker: This month we have invited Jacki and Mary Lou Reid to come to our July meeting and present to us 2 digital shows. They are bringing 2 shows this time. The first is on their trip in 2004 to Wakatobi, Alor and Flores Indonesia. The second show is on their most resent trip in April of this year to Raja Ampat and the Kungkungan Bay Resort. These 2 shows will certainly be ones that you will not want to miss so plan on coming early to get a good seat and be sure to bring and friend.
June Guest Speaker: We would like to thank Joyce and Frank Burek for coming down to our June meeting and presenting to us 2 wonderful digital shows. If you miss this meeting you missed a wonderful presentation. Their first show was on Bonaire and the second one was on the Flower Gardens and Stetson Bank. We are always glad to have both Frank and Joyce come to our meeting and have them give us a great presentation.
JULY
COME VISIT and DIVE WITH YOUR FRIENDS and NEIGHBORS
Bay Area Divers meet at Clear Lake Park, 5001 NASA Road 1 at 7:30 pm the last Wednesday of each month (except December).
GUESTS ARE ALWAYS WELCOME!
1
The B.A.D. Board of Directors meet at Ryan's Steakhouse on Bay Area Blvd. on the first Tuesday of each month at 7:00 pm. All members are welcome.
FINS TO THE LEFT . . . FINS TO THE RIGHT by Mike White
Oops! Where in the world was the BAD President in last month's newsletter? MIA? DCI? DOA?
No, actually I was BVI. On Friday, June 10, at "0-dark-30" I got on an airplane at Bush Intercontinental (IAH) and started winging my way to Tortola in the British Virgin Islands. About halfway across the Gulf of Mexico I suddenly remembered . . . "Oh s***! I didn't send Ja Van my article for the June newsletter!" Well, nothing I could do about it then, and I couldn't get in trouble for about nine days until I got back, so I did the only reasonable thing under the circumstances . . . I ordered my first cuba libre (of many) that would consumed over the next week, and started reading my scuba and snorkeling guide for the BVIs.
The BVIs are a group of closely-spaced islands that lie just east of the U.S. Virgin Islands (St. Thomas, St. John, St. Croix, etc.), and both island groups are to the east of Puerto Rico. The largest and main BVI island is Tortola, and other significant islands are Virgin Gorda, Jost Van Dyke, and Anegada. The BVIs are intentionally not as well-developed or populated as the USVI, which is a good thing. Although the BVIs are primarily known as a sailing/cruising destination, there are also a lot of good diving and snorkeling sites sprinkled around the islands.There are 63 sites in the dive guide, including the famous wreck of the "RMS Rhone". The "Rhone" was a British mail ship that foundered and sank in a hurricane just off the western end of Salt Is-
2
hull lies in two large pieces (and many smaller pieces) a couple of hundred yards from the shore in about 35-40 feet of water for the stern and in about 60-80 feet of water for the bow. The crystal clear water makes this a very impressive dive, and you can easily see the debris field from the surface.
I was in the BVIs with a group of sailing club friends on a seven day sailing vacation (we had bareboat chartered four cruising catamarans). Although I probably would not recommend going to the BVI if you were only going there to dive, it makes an excellent destination for a combination sailing and diving trip. Maybe I'll write a more detailed article about it for a future newsletter, including how we talked a cute 20-something Austrian girl into jumping naked off the "Willy T". But, I leave that for another day.
A belated thank you to all the volunteers who helped out at the BAD booth at Seaspace. Thanks to Natascha Cox, Fran and Don Eubanks, Bill Jones, Linda Furlong, William Mills, Joe Neely, Ja Van Pruett, Judy Raben, Verna Shannon, Polly and Fred Swerdlin, and you other "walk-up" volunteers who couldn't commit ahead of time. We got a lot of interest at our booth (some of whom came to our July meeting and a few who joined BAD at Seaspace), and our new door prizes and registration resulted in a lot of advertisement and names for our Flea Market in October.
And speaking of the Flea Market, BOD member Jim Delane has volunteered to chair the BAD Flea Market this year, which is scheduled for October 15 (you have already marked it on your calendar, haven't you?). Jim will be looking for all you BADdies to help put on this event (which is BAD's big money-maker for the year), so when Jim comes calling, jump in and take over a little task that needs to be done, so we can make this a very success event.
Our annual diving/BBQ/picnic weekend at Blue Lagoon on July 16 and 17. See you there, and call Beverly for details.
In August, we have a BAD "behind the scenes day" at Moody Gardens planned for Saturday, August 20, and on Sunday, August 28 we have another diving/BBQ afternoon planned, this time at Tiki Lake. I hope that the Tiki Lake event provides an opportunity for new divers to practice their newly acquired skills in a nice, relaxing atmosphere before you go off on that first diving trip, so I encourage you to join us. Please see articles about these two events elsewhere.
As I discussed at an earlier BAD meeting, the Board now has a few proposed revisions to the club bylaws and constitution for the membership to consider. Please see my article elsewhere is the newsletter for more details.
Well, gotta go . . . keep diving in 2005!
NEW BAD Members:
Hai Dang, Cliff Dominey, Jim & Barb Jenkins, Elizabeth & Michael Stillion,
Lisa & Mike, Kids- Adam, Veronica, & Laura White
Guests:
Marvin Adamson, Carroll Bagley, Renee Bearer, Shon Corrier, Monta Horner, Karen Solis, Jayne Woody
BY Ja Van Pruett
Mother Nature at her best. Hurricane Dennis with it's strong winds of 115 mile per hour and strong current flipped over USS Spiegel Grove with with waves of 20-foot waves. Hurricane Dennis was a Blessing in disguised when he blew through the Florida Keys Coast on July 7, 2005.
BAD AFTER MEETING GATHERING
by Beverly Cutler
How
about
we
When Florida had acquired the 510-foot long and 85 feet in width and 6,880-ton/hulk, the largest ship to be used for diving. She was originally constructed in September 1954, launched on November 10, 1955 and commissioned on June 8, 1956. The Navy Ship (LSD32) is a Cold War relic that is a former Loading Ship carrying landing crafts and cargo. The ship served duties in the Caribbean Sea, the United States East Coast, Africa, the Mediterranean Sea, Panama and the Middle East, including a vital role in the original Operations Desert Storm in the Persian Gulf, USS Spiegel Grove Navy Ship, was decommissioned and placed in a floating storage until the Key Largo Chamber of Commerce purchased the ship in 1998.
gather at Boondoggles in Seabrook for snacks and more socializing??? It is located on NASA Rd. 1, near highway 146. Plan to have even more fun and socializing. See you there!
August
Rebecca Jocobs Aug. 03
Susan Garcia Aug. 06
Lynn Hale Aug. 17
Ed Richards Aug. 17
Hayes Kennedy Jr. Aug. 18
Jim Ward Aug. 22
Michael Dush Aug. 27
Debbie Stanford Aug. 28
Candace Camponelli Aug. 30
Jack Dwire Aug. 30
During the previous night before the planned sinking of the Spiegel Grove decided to sink on its own, which created a navigational hazard when it landed bottom-up with the stern on the seabed and the bow jutting above the waterline. On June 11, 2002, a salvage company came in an assisted in righting this enormous vessel using giant airbags and steel cables to turn it onto it's starboard side; where it is safe from passing vessels but confusing for divers to swim through.
Diving the Spiegel Grove, it is suggested for divers to have some experience although dives of varying degrees of skill can be planned based on the large variation in depth and opportunities for penetration. Novice divers can visit the wreck safely, all divers must be award of frequent strong current around the Spiegel Grove.
You can find it in 130 feet of water a few miles off Key Largo in the National Marine Sanctuary. Every effort has been made to make the ship as safe as possible.
PLEASE, PLEASE if you like to write or have an article you want put it into the newsletter pertaining to diving, please contact me or send it to [email protected].
3
Tulio is survived by his wife and two children. Donations to assist Tulio's family may be made payable to Patty Grier and sent to: Tulio Fund, Box 877, San Antonio, FL., 33576. Patty is Tulio's first PADI Instructor.
A BAD FRIEND IS GONE
© Copyright 2005 Bill Jones World Rights Reserved
Roatan, Honduras: The CoCo View Resort had two dive fatalities on June 21, 2005 at Pirates Point. The first fatality happened only minutes into a 60-foot afternoon dive when Randy Gibbs, 49 of San Angelo Texas, became an "unconscious diver at depth" according to the U.S. Embassy in Tegucigalpa. In the moments following, PADI DiveMaster
Tulio Gomez died during the rescue attempt. Both were transported to San Pedro Sula for autopsies. The official cause of death was "Submersion Asphyxiation" (drowning). Guests of the resort participated in the double recovery.
Tulio Gomez was a personal friend of many of our BAD members and was well known to guests of CoCo View for his flamboyant and cool demeanor characterized by his sunglasses, clothes, and style. A DiveMaster at CoCo View said, "He was helpful to everyone, not just to the guests but an honest gentleman, who would always open a door or extend a hand to help someone in need". The 32-year-old DiveMaster died extending his hand to someone in need.
Remembered well by guests for his "Tulioisms", he often joked "Get off my boat", "I almost saw a shark", and "Are we here yet?". If you cut or scratched yourself during a dive, he would ask "Did you touch my reef?". Tulio loved being a DiveMaster and often told guests that he was
LARGEST IN-STORE SELECTION RECREATION & TECH DIVE GEAR AND ACCESSORIES
All Levels
PADI 5 STAR IDC
SCUBA TRAINING
Group & Individual Travel Packages
Beginner thru Instructor Small Classes with Personal Attention
TRAINING ♦ TRAVEL ♦ ADVENTURE
10832 Westheimer, Houston, TX
—713-266-0722
www.rdscuba.com
(1/2 mile west of Beltway 8 – Behind Church's Fried Chicken)
Roatan is an island 33 miles off the coast of Honduras in the Caribbean Sea. Pirates Point is on the south side of this popular dive-destination.
2 pkg. (8 Oz each) cream cheese
2 C confectioners' sugar
1 C dairy sour cream
1-1/2 t vanilla extract, divided
1/4 t almond extract
1/2 pt whipping cream
1 T sugar
1 angel food cake, torn into bite-size pieces
2 qts. fresh strawberries, thinly sliced
3 T sugar
3 T almond-favored liqueur or almond extract to taste
In a large bowl, cream together cream cheese and sugar; add sour cream, 1/2 teaspoon vanilla and almond extract. Set aside. In a small; deep bowl, whip the cream, remaining vanilla and sugar. Fold whipped cream into cream cheese mixture. Add cake pieces; set aside. Combine strawberries, sugar and almond liqueur/extract. Layer together in large glass bowl, starting with strawberries, then adding cake mixture. Continue layering; finish with strawberries. Cover with plastic wrap; chill well. Yield: 24 servings.
1 pt. Frozen strawberries, (reserve juice)
1 pkg. (3 oz) vanilla pudding, not instant
1 pkg. (3 1.4 oz.) tapioca pudding, not instant
1 pkg. (3 oz) strawberry gelatin
2 bananas
2 C whipped cream or topping
Pour strawberry juice and/or water into 2-qt. Glass measure to make 2 cups liquid. Add puddings and gelatin. Microwave on high for 5-6 minutes or until mixture thickens and boils. Stir once or twice while cooking; cool. Add strawberries, bananas and whipped cream. Yield: 8 servings.
4
Ahoy! BADdies, join your fellow club members and friends to go backstage at the Moody Gardens Aquarium in exotic Galveston, TX to see what makes the thing actually work! Tour the divers' equipment and staging area where the volunteers get in to swim with SHARKS! See the pump and filter room which looks like it could support a space station! Inspect the kitchen where the food for the critters is prepared! No, they don't cook the critters there. Meet, greet and shake flippers with real live Emperor Penguins!
Then spend all the time you want wandering around the Aquarium. Well, at least until they close.
Pertinent Trivia:
Sat Aug 20, 2005, 12:30 pm at the Aquarium entrance
Wear closed toe rubber sole shoes, no flip flops or sandals
Must be 14yrs of age or older
$20 US per person, only about $5 US more than regular admission
Non-members welcome
Call713-818-8859if running late
Payable by cash or check no later than July 27 (at the club meeting)
Make checks payable to:
Joe Neely 819 Seafoam Houston, TX 77062
Or see me at the meeting [email protected]
Oceanic Thick-Glass 175 Gallon Aquarium, Stand, Top, and Light in excellent condition. Various equipment included. Will make a fine saltwater or freshwater tank. Never used with saltwater. $300
Contact: Bill Jones [email protected]
ALL LEVELS OF SCUBA TRAINING
Basic Snorkeling thru Advanced Technical Deep Water Aerobics Indoor Heated Pool on Premise
Equipment from most major manufacture
Computers ♦ Tanks ♦ Dry Suits ♦ BCD's
Regulators ♦ Wet Suits ♦ Spear fishing
Apparel ♦ Photography ♦ Jewelry
Dive Accessories of all kinds
WORLDWIDE TRAVEL DESTINATIONS
Groups ♦ Individual ♦ Clubs
1307 First Street Humble, TX 77338 Tel: (281) 540-1616 Fax: (281) 446-8861
Email: [email protected]
Website: www.wwdive.com
Were YOU at the June Membership meeting and able to scarf up on the Special of the Month? WW Divers made us a whoppin good deal on hangers for Wet Suits, BC's and Booties. Hummmm…..I wonder what the special for this month will be. I am going to be there, ARE YOU?
If another organization wants to offer B.A.D. a monthly special, please let me or the BAD BOD know so that we may make those arrangements.
See you at the July BAD General Membership meeting. Beverly
Bay Area Divers P.O. Box 58404 Houston, TX 77258
Catch us on the web at:
WWW.BAYAREADIVERS.ORG
If you are planning to take a scuba class or a first aid class this year, this is a good time to buy your book and begin reading and completing the knowledge reviews at the end of each chapter. Be sure to tell them you are in BILL JONES PRIVATE CLASS and they will show you what you need. See more about classes below.
Classes offered by
— Bill Jones to Bay Area Divers at discount Prices.
All Divers are always welcome to come with us to Blue Lagoon to do equipment check out dives, practice skills, BBQ, or just socialize with other divers. Contact Bill Jones: [email protected]
Open Water Diver Class- (for those new to scuba, you earn the Certification Card you need). July 8-17.
Advanced Open Water Diver Class- Pre-Req: Open Water Diver or equiv. July 16. (Blue Lagoon) (Requires an additional deep dive for Certification).
Enriched Air Nitrox EANx Class- Pre-Req: Open Water Diver or equiv July 12-16.
Other Speciality Class- July 16 (in Huntsville-Blue Lagoon).
Master Scuba Diver Class- Pre-Req: OWD ACWDM Rescue Diver, 50 logged dives, 5 Specialty certifications or equiv.
DiverMaster, Assistant Instructor, Instructor Development Course Email [email protected] for details.
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Small Wind Energy System Model Ordinance — An Overview
Written by: Sherrie Gruder
Small wind turbines are being installed to supply power to a variety of sites -- including farms, businesses and schools. A small-scale wind energy system can help make a home or business energy-independent. A gridconnected wind system provides the benefits of wind energy and the consistency of the utility. An off-grid system has no connection to utility lines, so it is very useful in isolated locations. Installing a wind turbine is a productive way of offsetting high utility costs while making a commitment to the community and the environment.
The most significant barrier to small wind turbine installation can be local zoning. This has been an incidental result of uncertainty about large wind farms by some communities. To help educate local officials, Focus on Energy and UW-Extension have developed a small wind energy system model ordinance for local towns and counties. The ordinance complies with the relevant state statute, WI s.s. 66.0401, governing a municipality's ability to regulate wind systems.
There are several ways a town or county can use the small wind energy system model ordinance. It can be adopted as-is, or it can be used as the basis for a conditional-use permit. For example, the Town of Ahnapee in Kewaunee County took out the standards, abandonment, and permit requirements sections and put them into a conditionaluse permit. The Town of Merton in Waukesha County is doing the same thing. Alternatively, Calumet County adopted many of the recommendations in the small wind energy model ordinance and placed it into the overall county wind ordinance that also includes large wind.
For further assistance with small scale wind energy systems and issues, go to the Focus on Energy Web site at www. focusonenergy.com/renewableenergy or call 800 762-7077. With specific questions on zoning issues related to wind, contact Mick Sagrillo through Focus on Energy or directly at (920) 837-7523, [email protected].
With staff in Green Bay, Madison, Milwaukee and Stevens Point, SHWEC has been providing quality environmental education and technical assistance throughout Wisconsin since 1990. To contact a SHWEC Specialist go to www.shwec.uwm.edu
SHWEC -
UW-Extension 610 Langdon Street, Room 528 Madison WI 53703 608.262.0385 tel 608.262.6250 fax
recycled paperT
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North American Shetland Sheepbreeders Association Work Order
Breeder Name __________________________________ Flock Prefix ________________________ Flock Number____________
Address _________________________________________________Farm Name _______________________________________
City, State/Province, Zip __________________________________ Daytime Phone Number____________________________
Email ______________________________________ Fax Number ____________________ Website________________________
Membership Type (Check which applies) c
New Member Applyingc Senior Memberc Junior MembercAssociate Member
Total Cost of all Items on this Form
___________________
Credit on NASSA Account --___________________
Check # _________ Total Money Enclosed_________________
City, State/Province, Zip __________________________________ Daytime Phone Number____________________________
Email ______________________________________ Fax Number ____________________ Website________________________
Membership Type (Check which applies) c
New Member Applyingc Senior Memberc Junior MembercAssociate Member
Total Cost of all Items on this Form
___________________
Credit on NASSA Account --___________________
Check # _________ Total Money Enclosed_________________
Item List
Quantity Item
Price Item Total
A. Memberships
1. New Senior Member
__________
$40 US
__________
(includes flock prefix)
2. Annual Senior Renewal
__________
$25 US
__________
3. New Junior Member
__________
$25 US
__________
(includes flock prefix)
4. Annual Junior Renewal
__________
$15 US
__________
5. New Associate Member
__________
$30 US
__________
6. Annual Associate Renewal
__________
$25 US
__________
7. Canadian Members Postage
__________
$6.50 US __________
(First Class postage required)
B. Flock Prefix Registration Fee
__________
$10 US
__________
(New Members must register a flock prefix, limited to 12 characters)
C. Registrations
1. Ewe Registrations
__________
$5 US
__________
2. Ram Registrations
__________
$10 US
__________
D. Transfers
1. Less than 6 Months after sale
__________
$4 US
__________
2.More than 6 Months after sale
__________
$8 US
__________
E. Duplicate Certificate
__________
$3 US
__________
F. Rush Fee(for each Reg & Trans) __________ $5 US. __________
G. Special Handling
1. UPS Overnight Delivery Call for pricing
__________
__________
2. Postal Overnight, USPS (two-three day delivery) __________ $24 US __________
3. Priority Mail USPS (four-five day delivery
__________ $7 US __________
Item Totals Place check mark in box if ordering NASSA Store Items, providing NASSA Sponsorship or donating to the NASSA Youth Fund. (See back this page) o
__________
sp Page 1 of 3 pages
G. NASSA Store Items -All fees to be paid in US Dollars-
H. NASSA Association Sponsorship • NAILE & All-American Junior Sheep Show
____________________________________________________________________________________________________________
1. Bronze Sponsor
$1 to $24 range Amount Sponsored _________________
2. Silver Sponsor
3. Gold Sponsor
4. Diamond Sponsor
$25 to $49 range Amount Sponsored _________________ $50 to $99 range Amount Sponsored _________________ $100 or over range Amount Sponsored _________________
NAILE ____ All American Youth Show____
Sponsorship Total___________
Please indicate which event you are sponsoring
Both ____ (Amount sent will be divided)
I. NASSA Youth Fund Donation
____________________________________________________________________________________________________________
Please mail your completed work order form to: NASSA Registry P.O. Box 231, 305 Lincoln. Wamego, KS 66547 Questions? 785-456-8500
Donation Total
________
File Name: Work Order Form NASSA ©sp
Page 2 of 3pages February 2017
NASSA Work Order
Payment for Membership or Store Items are now payable using your check or Credit Card.
Payment Options: (Please check)
Pay by check _______ Credit Card _______
Credit Card Number _________________________________Expiration Date on card _________________
Three digit code on back of card ________________Zip code of billing address _______________________
Signature of cardholder _____________________________________________________________________
File Name: Work Order Form NASSA © sp
Page 3 of 3 pages
February 2017
All credit card transactions will be charged a 15¢ transaction fee and a 3.5% convenience fee on the total amount. All major Credit Cards accepted.
Due to variable border customs postage rates, the Registry has requested all persons ordering from outside the US to contact them at: [email protected] to confirm correct postage to include for Store orders. US residents placing orders for multiple items are also requested to contact the registry before ordering to confirm the correct postage amount to include.
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Pointmaker
REMAIN OR LEAVE
WEIGHING THE RISKS
Rt Hon Andrew Tyrie MP
Andrew Tyrie delivered this speech at the Centre for Policy Studies on Monday 13 June 2016.
1. INTRODUCTION
Opportunities and risks come with both staying in and leaving the EU. On 23 June, the electorate will be asked to do a difficult job: to weigh those opportunities and risks. The leavers have the simplest points. But the remainers have the better of the argument. What follows is an attempt to explain why.
2. WHAT THE REFERENDUM IS NOT ABOUT
It is important to be clear what the referendum is not about.
First, the referendum is not a litmus test of who is a good patriot. There are patriotic people, and patriotic arguments on both sides.
And both deserve respect.
Secondly, it is not, nor should it be, a test of who is a good member of a political party. The Conservatives, Labour, the SNP and the Liberal Democrats will all diminish themselves if they make a stance taken in this referendum a test of party purity.
Thirdly, this is not – in spite of the rather breathless hype – the most important decision faced by the UK since the Second World War.
The decision deeply to engage with the construction of the Western alliance, and the decision not to participate in the creation of the EEC, both outrank it. Arguably, the Scottish referendum does, too.
Nonetheless, the referendum matters, and matters in particular to the younger generation, because unlike a general election, the decision will not be revisited every five years.
All of us have a particular responsibility to think about their futures; and the young have a particular interest in voting.
Fourthly, it is not the case, as the Prime Minister and others used to suggest, that the referendum will provide a lasting resolution of Britain's relations with the EU.
If the UK votes to stay, our often dyspeptic relations with many of Europe's institutions will continue – particularly with their supranational
elements – as will the enduring task of protecting our interests as a nonparticipant in the Euro.
This is nonsense politics.
But if we vote to leave, relations with our neighbours will be at least as controversial, albeit in a different way.
It is likely that there would be at least a three way split over the country's direction, a split which, although at its clearest on the Right of British politics, is to be found across the political spectrum.
There would be a nationalist, sometimes Powellite, strand keen to minimise foreign entanglements.
Some might want to try to construct an "Anglosphere".
And there would be a third group, perhaps the largest, who still see Britain's future as inextricably tied up with the Continent, whether they like it or not, and who would seek to reconstruct that relationship as best they could.
Fifthly, the referendum is not about – or certainly should not be about – what the Treasury Committee concluded were confusing, and on occasion misleading, claims made by both sides in the debate.
The electorate are thoroughly fed up with having to listen to some of this.
The Treasury Committee set out its concerns in detail.
By far the worst is the Vote Leave campaign's central claim. This is that Brexit would lead to a £350 million a week fiscal windfall.
This is simply untrue.
It is particularly reprehensible that this money is being allocated for 'spending' by the Leave campaign, and several times over, on the NHS, schools, roads, regional airports, tax cuts and submarines, to name but a few, if Britain left the EU.
It is a form of electoral bribery. It is an order of magnitude worse than usually encountered in general elections.
£350m a week, or £50m a day, is a false prospectus. It has some of the same corrosive characteristics of Tony Blair's claims on Iraq.
I very much regret that the electorate is being expected to wade through this mountain of nonsense to find grains of truth.
3. SO WHAT IS THE REFERENDUM ABOUT?
Overview
Despite the complexity of some of the issues involved in the referendum, they can be boiled down to three: the economy, identity and security.
In sum, on the economic impact, most experts – among them Brexit supporters – have concluded that a short term economic shock would almost certainly accompany leaving the EU, bringing a reduction of GDP growth. In practical terms that is likely to mean somewhat lower living standards than would otherwise be the case.
Most experts have concluded that there will also be a long run cost, although this is much less certain.
There are economic risks to staying and leaving; but the risks are greater to leaving.
Secondly, the electorate must decide whether the economic costs of Brexit are, as Arron Banks, founder of Leave.eu, put it, a "price worth paying" to secure demonstrable Westminster control over a number of economic decisions currently taken collectively.
My own view is that much of the control gained would be illusory. Britain would still have to negotiate with the EU, whether in or out.
Thirdly, the electorate must also judge whether the EU makes Britain more or less safe. In a nutshell, my view is that the EEC and now EU have both made an enormous contribution to the stability of Europe, most recently by helping absorb Europe's eastern half into the family of western nations after the collapse of Communism.
I feel the emotional pull of leaving, but the remorseless logic of the arguments in favour of remaining are stronger.
These are the three core questions for the electorate.
Economy
The weight of evidence seen by the Treasury Committee overwhelmingly supports the view that withdrawal from the EU carries an economic cost. But how big?
Estimates of the impact of the shortterm shock on GDP range from 1 per cent to over 5 per cent. The leading applied economist for the Brexiteers, Gerard Lyons, agreed with this consensus when he wrote that "Leaving the EU would be an economic shock. Most, if not all, economic shocks depress economic activity".
How short is the short term?
This is very difficult to tell. How long the downturn lasts, and the extent to which some or all of the loss in output could be recaptured in later years, depends on a range of assumptions.
Among them are the speed with which arrangements governing trade, investment, UK access to EU migrants, or a substitute for them in the global labour market, can be put in place.
How long would this take? Noone knows. But if I was pressed, I would tentatively argue for several years.
After all, what is required is a redirection of trade and investment; possibly a substantial adjustment to the labour market; and a clarity about arrangements for trade in services, where crossborder trade has been facilitated by the EU's efforts to tackle nontariff barriers.
Leading members of the Leave campaign have said that the UK will have "access to" the single market but not be "part of it".
This is pretty disingenuous talk.
It could create the misunderstanding among the wider public that, somehow, we can have full access to EU markets but set aside its rules.
I am confident that that would not be possible.
The crucial question is not whether or not the UK has access to the single market after Brexit, but how much access it has.
This is one of the uncertainties that may well, in itself, reduce output somewhat.
And it seems improbable that the EU would be prepared to negotiate anything resembling the current high level of access to the single market without the retention of a substantial degree of free movement of labour.
In the long run, the economy would adjust, whatever the arrangements put in place.
Would this also carry an economic cost?
Here the evidence that we took also suggests that there will be a loss of GDP, but it is more circumspect, and with wider margins of error.
Depending on the assumptions underpinning the analyses, and the models used, the balance of evidence shows a fan tail of possibilities, ranging from a modest upside to a somewhat larger downside.
This is scarcely surprising. The Treasury reduced the longrun effect to a single number in their paper published in April.
There is an arbitrary precision about this. Talk of a range is better. The Treasury have at least set out the assumptions behind it clearly, and with frankness. The Treasury clearly engaged in a great deal of legwork to get to a number.
But there is a simpler point.
When trade relationships are disturbed or curtailed, even in the short run, there will be a fall in output from the trend it would otherwise achieve.
Perhaps the UK could be more nimble in catering for its own specific interests. But it might feel the lack of the negotiating leverage of the access provided by a market of 500 million consumers.
And over the longer term, it is reasonable to conclude that Brexit would lead to a loss of GDP because leaving the EU would result in less access to the single market.
Behind the cacophony of claim and counter claim lies this irreducible point.
And it is for this reason that the forecasts examined by the Treasury Committee, while offering a range of possible outcomes, largely predicted a negative effect.
Though it is rarely considered in such analyses, it is also likely that restrictions on free movement between the UK and the rest of the EU would have negative effects.
It seems implausible that reducing access for firms to the EU labour market would leave economic performance unchanged.
To suggest that this could be wholly replaced by labour from outside the EU might be correct,
although it would take time.
But it is scarcely any comfort to those concerned by the level of migration.
Leaving might create the opportunity for an upside on trade with third countries. But this is more speculative territory.
Perhaps the UK could negotiate open trade agreements with third countries of considerable benefit. Perhaps not.
The EU has sometimes been cumbersome in its approach to international trade negotiations. But it has been far from useless.
It obtained comprehensive trade deals with countries such as Canada and South Korea. The EU has become steadily more open over time.
Inward investment might also fall, a point on which the Treasury Committee took a good deal of evidence.
Patrick Minford is the chief exponent of another postBrexit trade strategy. His is the proposal of a Peelite: unilaterally to open the British economy by eliminating all tariffs on imports to the UK.
In principle, this has some sound economics behind it. But it may prove very difficult to implement.
It would not be at all straightforward to explain to thousands of employees in the motor industry that they might face high tariffs on their manufacture of exports to the EU, but that no tariffs would be levied on imports from car manufacturers into the UK.
So it is clear that there are economic risks both to the short term and the long term from leaving the EU.
It is true that staying in the EU is by no means risk free, either. The EU's protectionist instincts could reassert themselves. And further risks could flow from the creation of banking union, notwithstanding the Bank of England's confidence that the safeguards negotiated provide adequate protection.
Overall, both staying and leaving carry risks and opportunities, requiring management. But the economic risks of staying and leaving are not symmetrical.
Leaving carries bigger risks.
The weight of evidence taken by the Committee was pretty robust on this point.
Identity
I have lingered on the economic aspects of Brexit – perhaps partly because I chair the Treasury Committee.
And much of that holds true for the UK's main economic challenges today.
But many will feel that the need to restore control of affairs back to Westminster (as they see it), or the threat of erosion of Britain's sense of national identity, are stronger arguments for leaving.
They were encapsulated in the evidence to the Committee by Arron Banks, when he said that £4,300 per household was "a price worth paying to get back our own democracy", and in Dominic Cummings' interesting remark that leaving could provide an opportunity for national renewal.
It is true that the EU bolsters the selfconfidence of a number of Member States.
Since the war, the Germans have only ever felt comfortable expressing their national identity as part of a wider European identity.
For much of southern Europe, the European identity secured domestic transformation from dictatorship to democracy, and from managed to open economies. And for the countries of central and eastern Europe, joining the EU has itself been an expression of national identity, and of a new found independence after decades of Soviet domination.
None of these forces has touched the UK.
But neither – although this is unprovable – does it appear that the UK's selfconfidence has been eroded by membership.
If anything, the opposite is true.
Our selfconfidence as a nation has indeed derived from a capacity for selfrenewal since the 1980s, following decline in the 1960s and a collapse into ungovernability in the 1970s.
Put bluntly, we got ourselves into a mess, and we got ourselves out of it.
Membership of the EU had scarcely any influence on these events, for better or for worse.
These almost all lie on the supply side, are largely homegrown, and are of very long standing:
- A housing shortage
- Poor quality transport, and some other infrastructure equally poor
- Very mixedquality maths and science performance in schools
- A vast and increasingly ineffective and distortive tax system
This is not an exhaustive list.
Membership is not crucial to these issues, nor for the most part does the EU stand in the way of addressing any of them.
All the same, the historical evidence does not fully answer the claim that another bout of national renewal could be available after Brexit.
Perhaps it could, but while renewal is one possibility, isolation is another.
Overall, I find the argument based on identity – that membership makes Britain less of a country – intriguing but unconvincing.
It implies a lack of selfconfidence about ourselves as a country for which I find scarcely any evidence, particularly among the younger generation.
Nonetheless, the supranational character of the EU has certainly distanced decisionmaking from the electorate.
Coupled with the accretion of power at the EU level, it has contributed to a crisis of legitimacy and appears to be fuelling a nationalist resurgence in many parts of Europe.
It is another aspect of the wider crisis afflicting the EU, triggered by the Eurozone, and by the pressures of migration on the Schengen deal.
Notwithstanding protestations to the contrary, legitimacy flows, and will continue to flow, from national institutions.
advanced economies. It has reached a position where now its tariffs are in line with those of other western countries.
In a crisis, and there is one, the evidence is overwhelming that most of the peoples of Europe look to their national institutions for safety.
They will continue to do so. Measures to strengthen the role of national governments, and the parliaments to which they are answerable, should be central to debate over the next round of treaty change.
Some Leave campaigners argue that there is no point in continuing as a member because the UK's influence is illusory.
A thought experiment might help illustrate this claim, and its limitations.
Were Britain three times its current size, the UK could, to a large degree, negotiate on more or less equal terms with the EU.
Perhaps at one point in the 1950s, immediately prior to the EEC's inception, the UK could have achieved that degree of influence. But not now.
Were the UK a third of its current size, we would probably be largely ignored.
As it is, we cannot decide, but we can influence.
This is modern international relations. It is complex and messy. But for a middle power, it is not easily avoided.
And the influence obtained – much derided by Brexiteers – is meaningful. Both the single market and enlargement were to a significant degree British initiatives. When the single market was developing, there was a widespread concern that a fortress Europe would emerge – internal liberalisation accompanied by high external barriers.
But the EU has become less protectionist, not more. In the mid1990s its external tariffs far exceeded those prevailing in the US and other
Although impossible to prove, it is plausible to argue that this has, at least partly, been the result of British pressure and arguments from within for less protection.
Those who claim that this influence is itself illusory must also explain the UK's exemption from the Eurozone, Schengen, the migrant quota system, banking union, among much else.
The UK cannot dictate.
And the EU can be a very frustrating place to do business. But Britain's influence is certainly not negligible.
Whether in or out the UK will continue to seek to influence the EU in the national interest.
Some Brexiteers have argued that another Eurozone crisis is inevitable, and that the UK should escape now from the collapsing European building.
There is a superficial attraction to the argument, but the metaphor is a poor one. In or out, the EU will remain our biggest trading partner for years if not decades to come.
If the building goes down, the UK will be hit by much of the falling masonry regardless. In any case, in the aftermath of any crisis, there will be a major task of rescue and renewal to be undertaken.
The UK's ability to shape that, to argue effectively and influentially for a Europe des patries will be greater if we are demonstrably committed to European stability.
Our reservations about the Euro and supra nationalism would probably carry particular force at that time. The consequences of a collapse of the euro would be bad for everyone. But if it did happen, by remaining, the UK might well establish a leadership role in such circumstances.
We would have been on the right side of the argument about the euro, and about institutional reform, but still committed to close relations with our neighbours from within the EU.
This was immediately qualified with the suggestion that "it could also improve Europe's overall collective defence".
That is not a clinching argument for staying.
But it is a strong counter to the falling masonry case for leaving.
Security
On 9 May 2016, David Cameron said that "if you want to keep [the UK] strong in the world, and keep our people safe, our membership of the EU is one of the tools that helps us to do these things". He can't prove it, but I think he's right.
The EU is an important part of the architecture that forms what has come to be called 'the West' (although it incorporates many countries outside the western hemisphere).
The EU's threefold role at its inception was: to provide a framework for FrancoGerman co operation after the war; to facilitate economic reconstruction, and to do so without a return to interwar protectionism; and to create an economic counterpart to NATO.
For a while, victory in the Cold War appeared to expunge a major reason for the Europeans to stick together.
Now President Putin is perhaps resuscitating it. Russia has recently invaded two countries, and challenged the right of others to participate with the EU and NATO.
Albeit in much attenuated form, at least one of the original core objectives of the EU is certainly relevant for us again.
I was struck by the conclusion of the Foreign Affairs Committee report that "Brexit could […] allow the EU's common defence policy to develop in a way which could undermine the cohesion of NATO."
But the report contains some pretty robust evidence supporting the view that Brexit could weaken NATO.
No doubt this has weighed with the US administration – or with President Obama – when he concluded that "cooperation – from intelligence sharing and counterterrorism to forging agreements to create jobs and economic growth – will be far more effective if it extends across Europe. Now is a time for friends and allies to stick together."
Incidentally, the idea that the US President is "doing David Cameron a favour" is implausible. The US foreign policy establishment is ruthless in the projection of the national interest.
It has been so throughout the postwar period, often to the UK's considerable detriment. President Obama's intervention, and that of the US foreign policy establishment, is best seen in that light.
4. CONCLUSIONS
In or out, our relations with the EU will remain bumpy.
There will not be any easy resolution to them.
In part, that is because the EU's institutions are – to put it mildly – highly imperfect.
The waste, and periodic misdirection of economic resources, and the tortuous decision making structures, are sometimes enough to test anyone's patience.
Still, it's worth pointing out that many other international institutions scarcely fare any better.
Very few people suggest that we should withdraw from the UN's many bodies, some of which make the EU look straightforward.
It's also worth pointing out that some of our domestic institutions have been demonstrable failures.
been going on at least since the Second World War.
In our relations with Europe, Britain will continue to appear at odds with some of the decisions and the decisionmaking structures.
The UK's pragmatic approach, often based on costbenefit analysis, sits uneasily with the motivations of many other countries.
Some of those derive from the searing experience of dictatorship, military occupation, or Soviet domination. We are fortunate that we avoided all of those.
I feel the emotional draw of British exceptionalism, and the effect of the EU's intrusiveness. But, as I said earlier, I also recognise the risk that exceptionalism can transmogrify into isolationism.
I note the lack of agreement among Leave advocates of what future relationships with the EU and rest of the world will look like.
That lack of agreement is understandable.
I have no illusions about the EU and its shortcomings.
My conclusions derive merely from an attempt dispassionately to identify the national interest.
If withdrawal were to remove one problem that has been at the heart of British politics for half a century, it would be likely to replace it with another.
Advocates of leaving underestimate the need to engage deeply with the EU in pursuit of British interests, whether in or out,
They also underestimate Britain's capacity as a member state to influence outcomes for the better.
As I said at the start, the leavers have the simplest points.
But the remainers have the better of the argument.
My vote will be to Remain.
It's part of a deep controversy about the UK's relationships with the rest of the world that has
THE AUTHOR
Rt Hon Andrew Tyrie MP has been Conservative Member of Parliament for Chichester since 1997. He has been Chairman of the Treasury Select Committee since 2010, and was the Chairman of the Parliamentary Commission on Banking Standards in the 201015 Parliament. He is the founder and Chairman of the All Party Parliamentary Group on Extraordinary Rendition. This publication reflects his personal views.
ISBN 9781910627358
Centre for Policy Studies, June 2016
The views expressed in our publications are the sole responsibility of the authors. Contributions are chosen for their value in informing public debate and should not be taken as representing a corporate view of the CPS or of its Directors.
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G 20: HAZARDOUS CLASSROOM MATERIALS
Former Policy JHF
Principals and Program Directors will supervise the purchase and use of all materials which are used in the classroom or laboratory. Under normal circumstances, the use of any toxic or potentially hazardous materials is prohibited. In instances where the use of a potentially toxic or hazardous materials is critical to the instructional program, approved safety precautions, i.e. OSHA/VOSHA Workplace regulations, will be implemented by the teacher or laboratory supervisor. Such precautions will include appropriate procedures for preparation, class use and disposal of such materials. In all cases the classroom instructor will check the proper M.S.D.S. (Materials Safety Data Sheet) prior to the use of potentially hazardous materials in a demonstration or experiment.
Legal References: VOSHA Workplace Regulations Material Safety Data Sheets
Policy References: E 18 Environmental Health Policy
POLICY ADOPTED: July 12, 1994
POLICY REVIEWED: June 6, 1997
POLICY REVIEWED: February 12, 2008
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Telemedicine
Approved by the Board at its August 3, 2015 meeting
Service Area: Medical
Subject: Telemedicine
For purposes of offering guidance to licensed professional regulated by the South Carolina
Board of Medical Examiners ("Board"), the Board defines "telemedicine" as the practice of medicine using electronic communication, information technology or other means between
a licensee in one location and a patient in another location with or without an intervening health care provider.
The Board recognizes that technological advances have made it possible for licensees to provide medical care to patients who are separated by some geographical distance. As a
result, telemedicine is a potentially useful tool that, if employed appropriately, can provide important benefits to patients, including: increased access to health care, expanded
utilization of specialty expertise, rapid availability of patient records, and the reduced cost of patient care.
The Board cautions, however, that licensees practicing via telemedicine will be held to the same standard of care as licensees employing more traditional in-person medical care. A
failure to conform to the appropriate standard of care, whether that care is rendered in- person or via telemedicine, may subject the licensee to discipline by this Board.
1
It is the Board's position that there is not a separate standard of care applicable to telemedicine. Telemedicine providers will be evaluated according to the standard of care
applicable to their area of specialty. Additionally, telemedicine providers are expected to adhere to current standards for practice improvement and monitoring of outcomes
and provide reports containing this information upon request.
The Board provides the following considerations to its licensees as guidance in providing medical services via telemedicine:
1
Relationship as Prerequisite to Prescribing Drugs.
See also the Board's Advisory Opinion regarding the Establishment of Physician-Patient
Training of Staff — Staff involved in the telemedicine visit must be trained in the use of the telemedicine equipment and competent in its operation.
Evaluations and Examinations — Licensees using telemedicine technologies to provide care to patients located in South Carolina must provide an appropriate evaluation prior to diagnosing and/or treating the patient. This evaluation need not be in-person if the licensee employs technology sufficient to accurately diagnose and treat the patient in conformity with the applicable standard of care.
Other evaluations may also be considered appropriate if the licensee is at a distance from the patient, but a licensed health care professional is able to provide various physical findings that the licensee needs to complete an adequate assessment. On the other hand, a simple questionnaire without an appropriate evaluation may be a violation of law and/or subject the licensee to discipline by the Board.
Licensee-Patient Relationship —The Board stresses the importance of proper patient identification in the context of the telemedicine encounter. Failure to verify the patient's identity may lead to fraudulent activity or the improper disclosure of confidential patient information. The licensee using telemedicine must verify the identity and location of the patient and must be prepared to inform the patient of the licensee's name, location and professional credentials. A diagnosis must be established through the use of accepted medical practices, i.e., a patient history, mental status evaluation, physical examination and appropriate diagnostic and laboratory testing. Licensees using telemedicine must also ensure the availability for appropriate follow-up care and maintain a complete medical record that is available to the patient and other treating health care providers.
Prescribing — Licensees are expected to practice in accordance with the Board's Advisory Opinion "Establishment of Physician-Patient Relationship as Prerequisite to Prescribing Drugs." It is the position of the Board that prescribing controlled substances for the treatment of pain by means of telemedicine is not consistent with the standard of care. Licensees prescribing controlled substances by means of telemedicine for other conditions must obey all relevant federal and state laws and are expected to participate in the South Carolina Prescription Monitoring Program.
Medical Records — The licensee treating a patient via telemedicine must maintain a complete record of the telemedicine patient's care according to prevailing medical record standards. The medical record serves to document the analysis and plan of an episode of care for future reference. It must reflect an appropriate evaluation of the patient's presenting symptoms, and relevant components of the electronic professional interaction must be documented as with any other encounter.
The licensee must maintain the record's confidentiality and disclose the records to the patient consistent with state and federal law. If the patient has a primary care provider and a telemedicine provider for the same ailment, then the primary care provider's medical record and the telemedicine provider's record constitute one complete patient record. Licensees practicing via telemedicine will be held to the same standards of professionalism concerning medical records transfer and communication with the primary care provider and medical home as those licensees practicing via traditional means.
Licensure — The practice of medicine is deemed to occur in the state in which the patient is located. Therefore, any licensee using telemedicine to regularly provide medical services to patients located in South Carolina must be licensed to practice medicine in South Carolina. Licensees need not reside in South Carolina, as long as they have a valid, current South Carolina license.
South Carolina licensees intending to practice medicine via telemedicine technology to treat or diagnose patients outside of South Carolina must check with other state licensing boards. Most states require physicians to be licensed, and some have enacted limitations to telemedicine practice or require or offer a special registration. A directory of all U.S. medical boards may be accessed at the Federation of State Medical Boards website: http://www.fsmb.org/directory_smb.html.
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HUDSON I N S T I T U T E
HISTORY, IDEOLOGY, AND U.S. CLIMATE POLICY: BEYOND THE ORTHODOXIES OF LEFT AND RIGHT
BY LEE LANE
DECEMBER 2011
© Hudson Institute 2011
TABLE OF CONTENTS
"The United States is almost certainly incurring higher costs from its climate policies than it is from climate change… Finding better policies will require doing better analysis."
INTRODUCTION
ASthis paper is being written, the united states is almost certainly incurring higher costs from its climate policies than it is from climate change. Confused nostrums dominate the public debate about how best to reduce the threat of climate change. The president asserts that subsidies to more costly sources of energy are the key to "clean" growth. The Keystone XL Pipeline has been halted by shrill claims that the project will spell global doom—even though it can have little impact on either the total supply of oil or the demand for it. Farm state legislators tout the climate savings of subsidizing the use of corn for fuel and underpricing water to irrigate the corn. The sec retary of energy scolds consumers for wanting to use light bulbs that he thinks waste money; mean while, he is investing large sums of public funds trying to push unwanted technologies into a market that re sists them. Yet all of these costly policies will do little or nothing to lessen the harm from climate change. Some of them might even worsen it.
Both climate policy and the way in which it is analyzed are in need of change.The United NationsIn ter govern mental Panel on Climate Change (IPCC) is the citadel of orthodox belief on climate. That body has relentlessly beaten the drum for making green house gas (GHG) controls the prime response to climate change. One component of the IPCC, Working Group 3 (WG-3), has led this effort. Sur prisingly, WG-3 has largely es caped the criticism that has targeted much of the rest of the IPCC's work, and, to date, GHG control has dominated discourse about how to re spond to climate change.
Yet that approach is an abject failure. The quest for a worldwide system of GHG limits has now gone on for over twenty years. The impact on global emissions has been negligible. Most measures that have been adopted in the name of GHG control are structured in ways that ensure that they achieve less and at higher cost than would the policies often posited by WG-3. Still, most analysis re ported by WG-3 remains dog gedly fixated on projecting the effects of GHG control systems that do not now exist and that will not be adopted.
Finding better policies will require doing better anal y sis. Such analysis would probe the forces that have defeated or, worse, perverted, GHG controls. It would explore other ways of lessening the risks of climate change and examine how the factors that have brought GHG control efforts to naught would affect these other strategies. Finally, it would scrutinize how major global trends might affect both climate change and the measures intended to counter it.
Whether the IPCC can play a useful role in this process is an open question. So far, for whatever reasons, this body has not called due attention to the failure of GHG controls, nor has it delved deeply into the causes of that failure. In addition, the IPCC has shied away from weighing alternative strategies. This consistent pattern of failures suggests that the causes of the IPCC's deficiencies may be structural.
One way to shake up stagnant thinking would be to launch the equivalent of what national security studies sometimes call "red team" or "red cell" an alysis. In the realm of security studies, such teams adopt the viewpoint of an opponent and probe for their own side's weaknesses. In the case of climate, the need is for an analysis of why GHG control has failed, what alternatives exist, and what factors will affect the prospects for these alternatives' success.
The real problem, though, is deeper. It is that few U.S. political leaders demand rigorous climate policy analysis. Instead, they have clung to the dogmas of either the right or the left. Most public intellectuals have so far done the same. In fact, climate change does pose risks, yet those risks do not imply that massive social engineering for GHG control is either possible or desirable. As awareness of this reality sinks in among public intellectuals, a more serious policy discourse is likely to emerge.
"The integrated assessment models that are used to project future climate trends cannot explain why climate change appeared when it did, and not a century earlier—or did not appear at all. The source of this failure, moreover, is not climate science; it is economics."
1. How Climate Policy Analysis Forgot History
O rthodox analysis of climate policy cannot explain some of the main drivers of climate change. Economists cannot easily model changes in institutions and belief systems. History shows, though, that changes in these factors are major drivers of manmade climate change and its effects on society. Policy analysis has tended to focus more on what can be modeled formally than on what matters. As Section 1.1 shows, the current climate models do not explain some of the most striking patterns of economic growth. Section 1.2 offers some insights from history that fill in the gaps left by the models.
1.1 Missing Factors in Climate Policy Analysis
Integrated assessment models (IAMs) have been central to much analysis of climate policy. IAMs are mathematical representations of the links between economic and social systems on the one hand, and Earth's climate system on the other. IAMs have led to useful insights about climate policy. The models of economic growth that they contain cannot, however, represent the workings of institutions, shared beliefs, and forms of organization. Still less do they explain how changes in these factors affect economic performance.
The factors that IAMs omit are among the main drivers of modern economic growth. Moreover, changes in these factors are the only plausible sources of the discontinuity in economic growth rates that began some two hundred years ago. This sharp up ward deflection of economic growth rates is not subtle. On the contrary, for the roughly ten thousand years from the start of the Neolithic Revolution to the first years of the nineteenth century, mankind was in a "Malthusian Trap" in which technological progress largely translated into increased population. Then, average per capita income began to rocket upward led by growth in northwest Europe and parts of the New World, the "Great Divergence." Figure 1 on page 8 displays the pattern.
The long-term pattern of population growth resembles that of in come per head. Millennia of slow growth give way to a sudden surge. Figure 2 on page 8 displays the trend.
Current models of economic growth can describe the ways in which growth rates will rise or fall as changes in technology and social structures alter the output per worker or per dollar of investment. They do not, however, explain why it was that the process of innovation speedFIGURE 1
Source: Gregory Clark, A Farewell to Alms: A Brief Economic History of the World (Princeton University Press, 2007), 2.
Source: Robert W. Fogel, "Catching up with the Economy," American Economic Review 89, No. 1
ed up, or if changes in laws, rules, norms, or social structures made productive endeavor more effective.
The problem must not be brushed aside. The changes portrayed by Figures 1 and 2 are nothing less than the defining signal of the dawn of the modern age. They are also the wellsprings of man-made climate change. 1 Yet today's models cannot backcast these growth surges; there fore, the IAMs that are used to project future climate trends cannot explain why climate change appeared when it did, and not a century earlier—or did not appear at all. The source of this failure, moreover, is not climate science; it is economics.
Such an ahistorical approach might be viable if the models could, at least, explain current trends. They cannot. For instance, most current
TABLE 1
Source: Douglass C. North, John Joseph Wallis, and Barry R. Weingast, Violence and Social Orders: A Conceptual Framework for Interpreting Recorded Human History (New York: Cambridge University Press, 2009), 5.
models predict that the income gap between rich and poor countries should narrow. It has not done so, especially in the case of very poor countries. 2 Table 1 displays some other noteworthy patterns.
The table shows that the rich-poor gap persists because poorer countries have more years of negative growth than richer ones, and, during those years, their rates of negative growth are higher. The models used for analyzing climate change cannot explain these episodes of shrinkage.
Economic growth is a major driver of GHG emissions, and poverty greatly boosts the risk that future climate change might harm a society. Climate policymakers, therefore, need to know more about economic growth than IAMs can tell them. Fortunately, economic history can help.
1.2 Missing Factors: Open Science, Open Markets, and Open Politics
History suggests that two large trends are wellsprings of modern growth. One is the rise of the institutions that undergird modern science and bind it to the process of economic production. The other relates to some countries' success in suppressing outbreaks of organized domestic violence.
As modern open science took shape, discoveries led to yet other discoveries; further, scientific advance and industrial practice became linked. Progress in one spurred advance in the other. The pool of useful knowledge from which innovators could draw was constantly re filled. 3 Before these trends could take their modern shape, state structures, education systems, and intellectual property rights had all to be greatly altered. 4
For science to become a major engine of economic growth, the state, too, had to evolve. Today, the state serves as an educator, research funder, and technology gatekeeper. Moreover, before science could possibly flourish, the state had to grow strong enough to protect its citizens from the depredations of foreigners, maintain law and order, enforce contracts, and provide other public goods. 5
Yet the need for a strong state gives rise to Weingast's paradox: "A government strong enough to protect property rights and enforce contracts is also strong enough to confiscate the wealth of its citizens." 6 Most states today, as throughout history, take the form of what one anal ysis describes as "limited WG-3 access orders" or "natural states." 7 Such societies restrict participation in both economic and political markets. In states of this kind, the ruling coalition uses its ability to allocate the scarcity rents created by these entry barriers to buy support, including that of the wielders of armed force. It then uses that support to maintain its grip on power. Decentralized control of armed force maintains a fragile and ever-shifting balance of power within the ruling coalition.
The natural state can boast myriad accomplishments. Its rise is closely bound up with the first economic (or Neolithic) revolution, in which settled farming and urban life took root. Compared to hunter-gatherer societies, the social structures of the natural state offered far greater wealth and security. As natural states continued to evolve, some developed wealthy and complex societies.
Despite these achievements, natural states display an innate brittleness. Within such states, wars, new technology, diseases, climate change, and countless other factors cause ceaseless shifts in power balances among groups. When groups gain in power, they demand larger re wards. Gov ernment must strive to maintain a viable ruling coalition; hence, it may be obliged to meet such demands. In a zero-sum society, though, ru lers must often reduce the rewards of groups that have lost power in order to placate those that have gained it. 8 Strife can result. Without unified control over armed force, such conflict can easily unleash the use of armed force. 9 The smaller, more fragile natural states are structurally prone to just such outcomes, and this tendency is a major cause of their slow economic growth. 10 The results are all too evident in Table 1 on page 9.
In a few cases, though, societies evolved in ways that limited rulers' powers of predation. 11 By the late nineteenth century, changes in institutions and beliefs caused these societies to begin to function as "open access orders":
All open access orders proscribe the use of violence by organizations other than the military or police. Unlike the natural state, which actively manipulates the interests of elites and non-elites to ensure social order, the open access order allows all individuals to pursue their own interests through organizations. Individuals continue to be motivated by economic rents in both political and economic markets, but the presence of open entry pro"Development is a climate policy analogue to adding sound insulation to the buildings near airports. Development would doubtless raise GHG emissions; it would, though, also lessen the harm that they will endure from any given amount of climate change."
duces competition, which tends to make such rents temporary. Social order is maintained through the interaction of competition, institutions, and beliefs. Control of the military is concentrated in government, and control over government is subject to both political and economic competition and institutional constraints. 12
Where open orders take root, the episodes of organized internal violence become rare. As they do, the episodes of negative growth that are so apparent in Table 1 become far less frequent.
2.Institutions and Climate Policy
T he difference between natural states and open access orders has profound implications for climate policy. These differences are likely to affect the course of climate change and the responses to it. To explain some of the implications, Section 2.1 discusses economic development as a response to climate change. Section 2.2 describes the ways in which the institutions of natural states raise their societies' GHG intensity.
2.1 A Coasean View of the Climate Problem
In the early 1960s, Nobel laureate Ronald Coase offered a strikingly new view of environmental problems. Nuisances, Coase noted, arise because many useful and valued actions raise costs elsewhere in the economy. Further, those harmed by a nuisance can often take steps to lessen their own costs. Property owners, for instance, can lower the costs of airport noise by insulating buildings against sound. Faced with such a "reciprocal" problem, the best outcome would be to make that set of changes that yields the greatest net benefit. 13 Reaching that goal will often mean inducing both parties to take measures to lower harm—one by controlling the source, the other by avoiding the effects. But either government or the market will incur transaction costs in the process of inducing the steps needed to lessen the nuisance. Such costs can be high enough to affect the choice of what actions to take. Indeed, they can be high enough, compared to the size of the avoided nuisance, to imply that inaction may be the best course. 14
Malaysian palm oil plantation
Harm from climate change follows this logic. GHG emissions can al ter the climate. Some of the changes may impose costs on some activities and some countries. Yet proposed solutions, like rationing the use of fossil fuels, halting the felling of tropical forests, or shrinking livestock herds, are themselves costly. Hardening the activities affected by climate change against harm might offer lower-cost means to reducing harm from climate change.
In fact, economic development of poor and middle-income states is a promising approach to coping with climate change. Development is a climate policy analogue to adding sound insulation to the buildings near airports. Development of these countries would doubtless raise GHG emissions; it would, though, also lessen the harm that they will endure from any given amount of climate change. For instance, development would lower these countries' dependence on climate-sensitive sectors; then too, it would provide wealth with which to adapt to ill effects; and it would also bring gains unrelated to climate. 15
How the benefits of economic development compare with the costs of the added emissions that it will cause depends heavily on whether or not structural reform accompanies development. The institutions of natural states impede the growth that would help them to cope with
Industrial devastation in China
climate change, and they also boost the GHG intensity of whatever growth does occur. Section 2.2 offers examples of both effects.
2.2 Natural States and Emission Intensity
One major drawback of economic growth as a means of lessening harm from climate change is that growth in natural states can often be more GHG intensive than it would be in open access orders. When the governments of natural states use entry barriers to create scarcity rents for either sellers or buyers, they often also raise emission intensity. The extra emissions per unit of output are merely another form of the economic waste caused by the grant of market power. China and India, different as they are in many regards, both illustrate the point.
In the case of China, the growth of heavy industry is the main force behind rising emissions. It would remain a powerful driver of GHG growth even if all new investment used the most efficient, world-scale technology. 16 State-owned banks are funding the rapid growth of heavy industry. These banks pay little or no interest to depositors, but they also demand little of those borrowers with government backing.
"The source of China's high GHG intensity is not energy policy per se. Rather, government uses its control over entry in the financial services sector to funnel excess investment to SOEs. Part of the economic waste that results takes the form of more emissions per dollar of output than would be the case were capital markets operating more freely. Reform would harm the de facto owners of the heavy industrial SOEs, that is their mana gers. Yet the SOE business elite has become a major element in China's ruling coalition. Political reform would have to precede environmental reform."
As a result, the banks invest in the state-owned enterprises (SOEs) in heavy industries well beyond the point of excess capacity. The SOEs have parallel incentives. On the one hand, they cannot earn adequate returns on bank deposits. On the other, government demands so little in dividends from them that they are often awash in cash. 17 Output from the resulting excess capacity can be, in any case, shunted into export markets—thanks to the undervalued yuan.
The point to be stressed is that the source of high GHG intensity is not energy policy per se—though distorted prices do add to the problem. 18 Government uses its control over entry in the financial services sector to funnel excess investment to SOEs. Part of the economic waste that results takes the form of more emissions per dollar of output than would be the case were capital markets operating more freely.
Reform would mean allowing more competition in banking. That step, though, would harm the de facto owners of the heavy industrial SOEs, their managers. Yet the SOE business elite has become a major element in China's ruling coalition. 19 Thus, reforming the capital markets would disrupt the ruling coalition. Economic reform cannot take place without political reform.
In India, the political environment is, of course, vastly different, and the economy is far less GHG intensive. There too, though, governance problems, especially those in the electric power sector, raise emission intensity far above efficient levels.
Several factors are at work. State regulators hold electric power rates below cost; much power is stolen; lack of police protection may prevent power suppliers from denying services to nonpaying customers; and subsidies often do not suffice to cover suppliers' financial shortfalls. 20 With power suppliers beset by financial shortfalls, capacity growth lags far behind that of demand, and service quality is poor. Many households are left without power. They revert to traditional sources of energy, and other customers, including many businesses, respond by building captive generators. 21 The household and diesel emissions that result are major sources of black carbon, an important factor in climate change. 22 So far, attempts at reform have had little effect. 23
India's federal structure is another source of difficulty. Governance in some states has improved markedly in the reform era; yet in other states, especially in the east, government is more an engine of corruption than a source of public goods. 24 Reform legislation was enacted in 2003, but it has so far failed to inject much competition or efficiency into the power sector. 25
Governments use their controls over the power sector and over law enforcement to lower rates. This policy wins support from many consumers. But markets are badly distorted. Part of the waste takes the form of overconsumption of fossil fuel. GHG emissions per dollar of output are higher than they would be if government enforced property rights and allowed market prices to prevail.
Further reform remains politically difficult. While the growing numbers of middle-class voters appear to favor economic reforms, many poorer voters are ill informed about them; indeed, they appear to oppose their thrust. 26 In polities with competitive elections, large voting blocs, when organized by a party apparat, can use the power of the state to extract resources from less numerous interests, often at substantial cost to society. 27 This pattern helps to explain the failure of reforms to take hold in parts of India's economy where eliminating wasteful policies, though it would benefit society as a whole, would visibly harm the interests of large blocs like farmers or unionized workers. 28 Many of the distortions that result raise GHG emissions as well as lowering economic output.
3. Combating Climate Change by Decreasing Emissions
T his section lays out some of the ways in which inst i tutions are affecting efforts to counter harm from climate change by lessening GHG emissions. Section 3.1 covers global GHG controls. Section 3.2 explains the difficulties posed by current efforts to cut emissions from deforestation. Section 3.3 discusses the effects of ideology and rent-seeking on GHG control efforts.
3.1 The Failure of Global GHG Control
Climate stabilization is a global public good. To supply it through GHG controls would require the major powers to construct an effective global regime. Regimes consist of "implicit or explicit principles, norms, rules, and decision-making procedures around which actors' expectations converge in a given area of international relations." 29 The UN Framework Convention on Climate Change (UNFCCC) is a re gime devoted to GHG control, but on its record, no one could call it an effective one. Four problems work against the UNFCCC, as well as against any replacement.
First, as Section 3.3 will describe, even in open orders, domestic institutions ensure that actual controls are far from optimal; therefore, costs of implementing them could easily exceed the benefits. 30 Hence the store of rewards from which states might be compensated for the costs of reaching, enforcing, and complying with an agreement would appear to be meager at best.
Institutions in natural states are even more problematic for the prospect of global accord on GHG control. For GHG control to work, all participants must be able to trust that other states are faithfully fulfilling their commitments. The opaque nature of the laws, rules, and norms in natural states and the prevalence of corruption make such trust impossible.
In theory, natural states might solve these problems through reform. In practice, though, natural states depend on corruption as one source of the rents with which they buy the support that they need to stay in power. And corruption is as likely to undermine effective GHG control as it is to subvert protection of intellectual property. The only reform that would obviate such abuses would be a transition to an open order, an uncertain and perilous passage to navigate.
Second, national preferences over climate change differ widely. Rich states in the temperate zone have less to fear from warming than do poor ones in the tropics. Then too, transaction costs are raised further because so many states are involved, their values differ widely, and trust among many of them is scarce. 31 In principle, those states most anxious to curb emissions could offer side payments to those that are opposed or indifferent. In practice, the prospect of such payments encourages all states to display reluctance in hopes of being paid. 32
In any case, only Europe manifests much appetite for building a GHG control regime. Both China and India have made it plain that they have no intention of sacrificing their economic growth rates on the altar of GHG control. 33 Stocks of human, physical, and social capital, plus those of accessible natural resources, are vital to a country's capacity to adapt to climate change. 34 Therefore, there seem to be good reasons to conclude that not only are China and India resolved in their rejection of GHG controls; they are also, in this regard, behaving in an economically rational way.
Third, a coalition of great powers willing to coerce other states is most unlikely to emerge. Coercion is often costly for those applying it. Further, the states best able to impose controls are those with high and rising emissions and high bargaining power. Most such states, though, are less threatened by climate change than are poorer states. The bargaining power of the latter is too feeble for them to affect the course of events.
Fourth, the weakening of U.S. hegemony decreases the odds of a successful bargain. The most powerful state in the global system has typically taken the lead in coercing and cajoling others into joining and obeying regimes. Since WWII, the United States has often played that role, but on GHG control the lack of a U.S. domestic consensus has led the EU to try
to fill this vacuum. That effort has failed. Absent a state willing and able to act as an effective leader, the transaction costs of regime building rise.
3.2 Emissions, Forests, and Biofuels
Confronted with failure at the 2009 climate conference in Copenhagen, the parties to the United Nations Framework Convention on Climate Change drastically lowered their sights. At the 2010 Can cun conference, they shifted focus to reducing emissions from deforestation and degradation (REDD). The Cancun conference reached a sketchy agree ment on REDD. The result was quickly hailed as a great step forward.
It is true that forest-related GHG emissions are a matter for some concern. Tropical ecosystems store some 340 billion metric tonnes of carbon; this amount is more than forty times the current annual emissions from the use of fossil fuels. 35 Much of this stock of carbon is stored in tropical forests or in the soils beneath them. When these forests are felled or burned, carbon dioxide (CO2), the most important anthropogenic GHG, escapes into the atmosphere.
Tropical forests are shrinking. The Amazon and Southeast Asia are
"Not only are China and India resolved in their rejection of GHG controls; they are also, in this regard, behaving in an economically rational way… Without prospects of a global GHG control regime, go-it-alone U.S. controls are at best futile. It is more likely that they are self-destructive … A country that adopts controls throws away a bargaining chip that might someday help to induce reluctant states to adopt controls of their own."
cases in point; moreover, land-use change and forestry are major sources of these countries' emissions. 36 Already by 2010, though, new studies had found that forest loss and land-use change account for a markedly smaller share of world GHG emissions than had once been thought. These findings show that this source represents about 12.4 percent of total emissions. 37
Some analysts claim that REDD will be cheap. 38 It is also supposed to be a first step back toward the long hoped-for global, comprehensive, binding agreement. In other words, success with REDD is supposed to set the world on a path toward deep emission cuts. Four points cast doubt on these hopes.
First, weak land tenure will greatly complicate efforts to implement REDD. The details differ from country to country, but tenure problems are pervasive. In Brazil, for example, fear of expropriation discourages owners from renting their land; with fewer options to rent, landless peasants may be more tempted to clear forests. 39 Further, in many natural states, definitions of land tenure rights conflict with one another. Such conflicts create risks of protracted conflict. 40 Resolving such disputes takes both time and money. It adds, therefore, to the appeal of clearing virgin forest.
Governments could, in principle, clarify tenure; yet, doing so would create losers as well as winners. In Brazil, the leaders of the Movement of Landless Peasants block reform because it would deprive them of their function and power base. 41 In Indonesia, which is currently seeking reform, clarifying tenure and law will require reconciling clashing property-rights systems, deciding the claims of rival ministries, and resolving disputes between local and regional governments and Jakarta—disputes that stretch back, literally, to colonial days. 42 The political costs of persevering with such an effort are likely to be high. In other cases, weak states trying to impose top-down land tenure reform have thrown complex, but working, systems into utter chaos. 43
Further, tension exists between clear and secure property rights and the logic of the natural state. As described in Section 1.2, in such societies, shocks of varied kinds require governments to adjust the social rewards in ways that engorge some interests at the expense of others. Weak property rights may actually give government the freedom to adjust relative rewards in ways needed to maintain order. 44 Again, the logic of natural states clashes with the logic of global GHG control.
Second, REDD projects plus biofuels programs trigger forest/fuel/food trade-offs that work against hopes for lowering emissions through these two approaches. REDD programs will boost the price of cropland, as will biofuels. As cropland becomes more expensive, commodity prices will also rise. And if the affected crops are linked to global markets, higher commodity prices will ripple through those markets. Meta-studies show that high and rising prices of agricultural commodities are a major driver of tropical forest loss. 45 Hence, biofuels occasion what economists call "leakage." Emissions migrate from the site of the policy to some other place. They are relocated rather than being reduced.
The scale of EU and U.S. biofuels programs exacerbates the problem. Section 3.1 referred to the thicket of regulations that has grown up around the rationale of GHG control in the United States and the EU. Both polities seized on GHG control as a pretext for crafting an array of biofuels mandates and subsidies that raise farm income. These programs are already likely to increase pressures worldwide to expand crop cover at the expense of forests:
Our prospective analysis of the impacts of the biofuels boom on commodity markets focused on the 2006–2015 time period, during which existing investments and new mandates in the US and EU are expected to substantially increase the share of agricultural products (e.g., corn in the US, oilseeds in the EU, and sugar in Brazil) utilized by the biofuels sector. In the US, this share could more than double from 2006 levels, while the share of oilseeds going to biodiesel in the EU could triple… When it comes to assessing the impacts of these mandates on other economies, the combined policies have a much greater impact than just the US or just the EU policies alone, with crop cover rising sharply in Latin America, Africa and Oceania as a result of the biofuel mandates. 46
Some factors could constrain the extent of leakage. Currently, tropical forest loss is largely centered in a few countries. In the recent past, Indonesia, Brazil, and Malaysia have accounted for over 60 percent of global tropical forest loss. 47 The degree to which curtailing forest loss in these hot spots would shift action to other countries remains unclear. The investment environment elsewhere may be too poor to support forest loss.
Third, REDD plans are caught in a dilemma between goals that are too strict and those that are too lax. REDD projects offer positive re wards for emissions cuts, rather than penalties for emissions. Therefore, REDD projects must define a baseline emissions path against which to measure progress. All such efforts, though, face a dilemma. An overly strict baseline wastes resources as risk-averse agents shun viable projects. An overly lax baseline wastes resources as investors pay to preserve forests that were never at risk.
Projects in which REDD is used as a source of emission permits are especially at risk. In such projects, those selling REDD-based permits have an incentive to overstate emission abatement. Those buying the permits have no motive to probe too deeply into the validity of the baselines or the amount of abatement. Third-party monitoring and detailed rules may limit abuses, but only by boosting transaction costs. The UN
"Without prospects of a global GHG control regime, go-it-alone domestic controls are at best futile. The country imposing such controls will incur all of the costs but reap only a small share of the benefits. In fact, a country that adopts controls throws away a bargaining chip that might someday help to induce reluctant states to adopt controls of their own. Adopting go-it-alone controls, therefore, is likely to retard progress toward the global control system."
Clean Development Mechanism displays all these problems. 48 REDD will not escape them. As abuses are disclosed, public outrage will ensue.
Fourth, even were REDD programs to work, they are no model for a larger GHG control system. With REDD, developed countries pay less-developed ones to abate emissions. Many developed countries, though, are in tight fiscal straits. Even before the recent economic downturn, these countries declined to bear anything like the full costs of global GHG control. The notion that they will bear all these costs now is still more chimerical. The post-Copenhagen record on failure to fund adaptation aid shows just how chimerical it is.
3.3 The Perversion of Domestic GHG Control
Without prospects of a global GHG control regime, go-it-alone domestic controls are at best futile. It is more likely that they are self-destructive. The country imposing such controls will incur all of the costs but reap only a small share of the benefits. In fact, a country that adopts controls throws away a bargaining chip that might someday help to induce reluctant states to adopt controls of their own. Adopting go-italone controls, therefore, if it has any effect at all, is likely to retard progress toward the global control system.
Nonetheless, the EU, Australia, and the United States have adopted such controls. Without doubt, environmental nongovernmental organizations (NGOs) have been crucial in promoting these policies. Were such groups to admit that no prospects exist for effective GHG controls, they would forego large revenue sources. To survive, green NGOs must compete with each other for funding and attention. 49 An organization that admitted the realities of GHG control would voluntarily exit a lucrative market niche. Such a step would conflict with the NGOs' competitive imperatives.
To be sure, the green NGOs could not exploit this issue for money and support unless elements in the larger society found GHG control schemes appealing. Yet most of the gains from GHG control would accrue to foreigners, and to future generations of foreigners at that. For today's citizens, GHG control implies higher energy costs, less consumption, and little real gain.
Furthermore, citizens can have no direct experience of whether GHG control measures are even affecting emissions. Abatement measures either cause the air or water to get cleaner, or they do not. With most pollutants, the public can see the benefits or their absence. With climate policy, the goal is to prevent harm that might otherwise occur decades hence. Today's public can perceive neither the validity of the putative threat nor the efficacy of the proffered remedy.
Clearly, the appeal of GHG controls does not rest on utilitarian grounds. Instead, it largely stems from the quasi-religious reverence for preservation of pristine nature. This value has become deeply engrained in U.S. society. 50 It appears that these reverential attitudes may be even stronger in Europe, based on a comparison of these two publics' re vealed preference for climate policy.
Such sentiments, though, by themselves, would be unlikely to lead to go-it-alone GHG controls. In the United States, at least, opinion poll after opinion poll shows that the issue of climate change has low sa lience with most voters. Therefore, officials hoping to profit politically from offering climate "solutions" often canvass for support among "green" producer interests.
This strategy helps to explain why mandates and subsidies for use of renewable energy, electric vehicles, and "energy-saving" appliances have become the favored tools for GHG control. Such approaches target the transfer of economic rents to the best organized and most powerful interests. Officials can capture some of those benefits in the form of campaign contributions, endorsements, and future employment. The fact that the costs of these measures are both widely diffused and well concealed from the public adds to their appeal. 51
Thus, the U.S. Congress rejected cap-and-trade, but it has adopted a dense thicket of mandates and subsidies. The U.S. Supreme Court has also called forth a new command-and-control system under a statute regarded by all as ill-suited to the nature of the climate issue. Under this authority and that of another law, the United States is imposing mandates for both fuel economy and renewable fuel use. It would be difficult to find a knowledgeable person who thinks that this farrago of rent-seeking mandates is even close to being a least cost way to curb emissions—let alone to avoid harm from climate change.
4. Energy Technology as a Climate Solution
M any observers have cited the appearance and spread of new GHG-free energy sources as a potential ray of hope for GHG control. Section 4.1 discusses the impacts of institutions on the creation of such new technologies. Section 4.2 considers diffusion of new energy sources. Taken together, the two sections imply the need for realism about hopes that new energy sources will provide a quick fix to climate concerns.
21
"Renewables supplied most global energy for millennia. They gave way to coal because their supply varied by time, place, and many random factors. Coal's did not. Therefore, substituting coal for renewables raised both capital and labor productivity. Today, renewables still suffer this same drawback."
4.1 Fostering Innovations to Lessen Emissions
The technical challenges of stabilizing atmospheric GHG levels at realistic costs are daunting. 52 After all, renewables supplied most global energy for millennia. They gave way to coal because their supply varied by time, place, and many random factors. Coal's did not. Therefore, substituting coal for renewables raised both capital and labor productivity. 53 Today, renewables still suffer this same drawback. Only a steep fall in the costs of both storing energy and transporting it can solve the problem.
The policy challenges of stabilizing GHG levels may be even tougher than the technical ones. The credible threat of future emission controls would cause private sector R&D funding to increase. Large scientific breakthroughs, though, often require advances in basic science. Yet the for-profit sector has weak incentives to do basic science research, and, in fact, it does much less than the amount that would maximize social welfare. 54 This fact has long been cited as a rationale for governmentfunded basic research.
Government energy R&D is, however, beset with institutional problems. Political actors' incentives rarely cause them to back high-risk, highpayoff R&D. For legislators, demonstration projects offer the prospect of creating jobs for constituents. And Congress, for this reason, is apt to hurry concepts into the demonstration phase. Once such projects are launched, office holders prolong funding for them long after they have ceased to yield public benefits. 55 The programs that result bear little likeness to economists' model of stable, but diversified, programs aimed at doing breakthrough research on game-changing technologies. 56
The incentives that produce these perverse outcomes are deeply rooted in the institutions of government. The electoral process itself raises the political discount rate. Terms in office are short relative to the time lags inherent in R&D. Supporting R&D projects that yield large, but diffuse, net benefits, and even those only after a long time, is a poor reelection strategy. 57 R&D may still be a useful climate policy option, but it is subject to its own complex of institutional distortions.
4.2 Technology Diffusion
R&D-based efforts to lower emissions face another major hurdle. To affect global GHG emissions, a new energy source must win acceptance across many societies. Yet institutions and political factors often determine which technology prevails in a given society. 58 Such factors are likely to be even weightier in energy than they are in other, less highly politicized economic sectors.
In theory, a new energy source might be able to compete with fossil fuel on a pure cost basis. No source is, though, currently close to being workable at the needed scale. 59 Hence, for the new low-GHG energy sources to diffuse widely, government policies must promote their use.
History has often shown that technologic change and institutional change are tightly linked. Often, institutions are harder to transplant than technology. In the nineteenth century, it was relatively easy to export a steam engine to Cairo along with the technicians to assemble it. Exporting the form of a corporation, though, was far more difficult. It required radical changes in the legal system and capital markets, and it took far longer to accomplish. 60 Yet without institutional change, the new technology was very difficult to diffuse.
High engineering costs are clearly one obstacle to the spread of GHG controls. Were they the only one, a strategy based on energy R&D might stand a good chance of long-run success. But Section 3 shows that engineering costs are only one barrier among many. Absent major changes in deeply rooted institutions, the political rewards of non-symbolic GHG control are likely to remain meager.
The dispute between those who advocate GHG control and those who favor energy R&D is, in any case, merely one of emphasis. Neither could succeed without the other. Yet it does not follow that they can succeed together. Rather, the focus on both of these approaches is a symptom of an overemphasis on engineering costs and underemphasis on transaction costs and institutions.
5. Living with GHG Emissions
W hile chapter 3 discussed ways of lessening ghg emissions, and Chapter 4 addressed the difficulty of quickly applying new technology, this Chapter considers ways by which the costs of unavoidable emissions might be lowered. Section 5.1 discusses adapting to climate change. Section 5.2 covers efforts to help poor countries to adapt. Section 5.3 handles ideas to restrain climate change even as emissions continue unabated.
5.1 Adapting to Climate Change
GHG control is at best a very long-term strategy. Countries will need to adapt to whatever climate change unfolds until such GHG control begins to take hold. Adaptation has at least one major advantage over
"The poor prospects for development through aid make it all the more important to advance it through trade. In this regard, using environmental concerns as a pretext for new trade barriers is likely to be highly pernicious. The EU biofuels policy barring palm oil–based biodiesel is therefore very troubling. The intent seems clearly protectionist."
GHG control. For a developed country, it depends far less on in ter national cooperation. National preferences over adaptation may differ, but, in most cases, each country may act as it chooses.
Managing transborder fresh-water resources is an exception to this generalization. In fact, some have argued that climate change may trigger water wars among states. The record to date, though, shows that cooperation, not conflict, dominates interstate relations over water. As one expert stated the matter, armed conflict over water would be economic nonsense: "Water is neither a particularly costly commodity nor, given the financial resources to treat, store and deliver it, is it particularly scarce. Full-scale warfare, on the other hand, is tremendously expensive. A 'water war' simply would not cost out." 61
In most other regards, adaptation is either the product of market forces or that of domestic policy. Most of the developed world appears to have high capacity for adapting to climate change. In the United States, a great deal could be done merely by reforming western water rights and lowering subsidies to federal disaster insurance. These same reforms would also generate social savings quite apart from any effect on future harm from climate change.
Despite these non-climate-related advantages, both sets of reforms have lagged. Yet, the gains from water rights reform are large. Over time, western population growth will add to them, as may climate change. The rising payoffs for reform might eventually push aside the barriers to it. 62 A similar dynamic may be at work in the case of limiting subsidies to disaster insurance. The main point is that efforts to use institutional reform as a means of adapting to climate change might well produce large cobenefits.
Open access orders are structured in ways that make them well-suited to the challenge of adapting to climate change. These societies are decentralized. Hence, entrepreneurs will devise a wide array of market and policy responses to any large-scale changes; also, their competitive markets and politics will tend to winnow out mistakes fairly rapidly. 63 Some of the richer natural states may have one offsetting advantage. Adaptation will require some public works. Natural states' ability to brush aside non-elite protests may allow them to move more quickly on such projects.
5.2 Adaptation Assistance
Adaptation in poor tropical countries presents problems that are harder to solve. Such countries are more exposed to harm from climate change, and they have fewer resources with which to buffer its effects. Concern for spillover effects from state failure motivates some of this concern. 64
Responding to these concerns, developed countries have pledged $100 billion a year in aid programs to help poor countries adapt to climate change. Still, the motive to a free ride is strong, and the parlous finances of many donor countries must strengthen it. By August of 2011, only 61 percent of the pledged amount had actually been delivered. More importantly, much of that was merely diverted from other aid programs, and more of the funds were for GHG control rather than adaptation. 65
Proposals of this kind reveal that climate policy is largely a species of development aid. Therein lies a major weakness. Over the last sixtyfive years, a few such aid programs have worked; most have disappointed, and no clear formula for success has so far emerged. 66
Most of the poorest states still lack institutions to rein in government predation. In many others, governments do not even prevent outbreaks of organized violence. Aid has often not helped. To the contrary, by making governments less dependent on their own taxpayers, it has sometimes actually enabled predation. 67
Poor states would seem to be able to benefit from copying the institutions of open orders. Yet they rarely do so. The root of this problem is the political logic of the natural state. Governments hold power by using the rents created by barriers to entry in both economic and political systems. Reform would dissipate those rents. It might, therefore, threaten stability of the state itself; if anarchy is the alternative, even many interests outside the ruling coalition may cling to the status quo. 68
This impasse has led to proposals for altruistic neocolonialism. If the governments of some Third World countries cannot provide, the international community could use armed force to provide it for them. 69 Time and again, though, experience shows that building good governments is many times harder than toppling bad ones. And as the scale of needed military force rises, the number of competent candidates falls off rapidly.
Realistically, then, assisting poor countries' efforts to adapt to climate change is not likely to have much effect. Development would be a powerful antidote to harm from climate change; the difficulty is that no known formula exists for fostering it in the societies where it is most needed.
One thing can be said. The poor prospects for development through aid make it all the more important to advance it through trade. In this regard, using environmental concerns as a pretext for new trade barriers is likely to be highly pernicious. The EU biofuels policy barring palm oil–based biodiesel is therefore very troubling. The intent seems clearly protectionist. 70 A similar case could be made against the U.S. Renewable Fuels Standard Regulations. 71
More broadly, some advocates propose using trade sanctions to coerce free riders to accept GHG controls. A broader, Coasean view spotlights the contradiction at work within such schemes. Coercing states into GHG controls may close one of the few routes by which they might seek the economic growth that they need to cope with already unavoidable climate change.
5.3 Climate Engineering
In light of the difficulties posed by other approaches, it is no surprise that the idea of climate engineering (CE) has begun to gain some ground. CE is often posed as a fallback to GHG control, and the two approaches are compared and contrasted. CE would entail engineering changes in the large, highly complex global climate system. GHG control, by contrast, would require engineering large changes in nearly every society on the planet.
At least two sunlight-based CE concepts may be able to offset all the warming expected in this century. 72 One of them involves lofting a fine seawater mist into low-level marine clouds. There, the droplets would "whiten" the clouds; i.e., they would cause them to reflect more sunlight 73 and perhaps lengthen their lives. 74 The second approach contemplates injecting very fine sulfate particles into the stratosphere. 75 After a year or two, particles would fall to the surface as rain or snow; quantities would be small compared to current sulfate emission levels. 76
Either approach offers the chance of large benefits. One hypothetical CE system has recently been estimated to yield net benefits with a discounted present value (in 2005 dollars) of $4 to $10 trillion. 77 One very important potential advantage of CE is that, in contrast to GHG controls, it might be deployed relatively swiftly should severe harm from climate change appear to be imminent. 78 Against these possible gains, though, stands the risk that CE might trigger costly side effects. 79
The global politics of CE differ from those of other approaches. CE's relatively low engineering costs imply that any major state could probably afford to do it. One early article on the subject issued strident warnings that some state, terrified of climate change, would launch unilateral CE; supposedly, a grave international crisis would ensue. 80
While not, perhaps, entirely fanciful, this scenario is hard to credit. Certainly, were a great power to resolve on advancing CE, blocking its path would be difficult. Sanctioning great powers has rarely been tried, and when it has, it has often not worked. 81 How realistic, though, is this scenario?
In fact, so far, no government has sought to advance global-scale CE. To the contrary, most of the interest has been in quashing the concept. The Parliament of the European Union has passed a resolution opposing it. 82 A conference of the convention on biological diversity has done something similar. 83 The U.S. has no coherent research program on the concept.
Thus, the actual state of affairs stands in sharp contrast to fears of
"Conflict over CE is possible, of course, as it is over GHG control, riparian rights, or technology diffusion. Consider, for instance, the conflicts over nuclear proliferation. It is also true that greatpower conflict is costly and dangerous. For that very reason, though, such states, especially since 1945, have gone to great lengths to limit the intensity of such conflicts."
CE "Lone Rangers." The political economy of CE explains the reasons for largely dismissing such fears. To begin with, domestically, the scale of the investments needed to implement CE is small. Therefore, the concept is not a very good pretext for pork-barrel politics. This fact deprives it of a major potential source of support for R&D funding.
Then too, CE fits awkwardly into the ideology of climate policy. In the United States and the EU, many green groups fear that CE offers an escape from costly GHG control schemes. Yet many U.S. conservatives continue to dismiss the idea that climate change might someday pose a problem. Thus, CE remains lost in an ideological no man's land.
Unless climate change were to present a far more imminent threat than it now does, the major powers do not seem likely to embrace CE. After all, for over twenty years, these states' actions—as distinct from their words—have signaled their slight regard for the danger of climate change. Why should they, then, suddenly decide to incur the risks of modifying Earth's climate to cope with a threat to which they can readily adapt?
Appearance of a more urgent threat from climate change might alter the situation. In that case, though, many more states would be likely to wish to act. A state wishing to explore CE would have no reason to act as a "Lone Ranger." The fact that some states might, even then, resist the progress toward CE would merely add to the incentives for building a coalition strong enough to overcome the resistance at a cost that is tolerable to each member of the coalition.
Conflict over CE is possible, of course, as it is over GHG control, riparian rights, or technology diffusion. Consider, for instance, the conflicts over nuclear proliferation. It is also true that great-power conflict is costly and dangerous. For that very reason, though, such states, especially since 1945, have gone to great lengths to limit the intensity of such conflicts.
Should future events foster more serious interest in CE, the likely out come would be that major states would build an international regime to oversee research, testing, and perhaps, eventually, deployment. Such a regime would become the arena in which major powers would thrash out their differences.
The dynamics of managing a CE system would be likely to shape the structure of the regime that does the job. The need to hold down transaction costs dictates that only relatively few states could be active decisionmakers. Yet the regime must be broad enough either to co-opt or to cow all the states able to block its path to its goals. One recent plan foresees a regime built around roughly fifteen of the world's most powerful states. 84 This logic suggests that the manager of CE would be neither a Lone Ranger nor a UN General Assembly–like global tower of Babel.
Thus, as with other regimes, the structures for governing CE would be likely to formalize the balance of power among the states that create them. The major states, after all, accept limits on their own freedom to act only insofar as other major states compel them to do so; hence, regime rules mirror the distribution of power that prevails at the time of their inception. Further, when the balance of power drifts too far out of alignment with a regime's rules and norms, the major states are apt either to change the rules or to shift control of the policy area to other regimes that more faithfully mirror the new balance of power. Thus, the form of regimes follows both function and power. If it does not, the regime can lose sway.
6. Institutional Trends and the Future of Climate Policy
T he previous two chapters pointed out that the insti tutional framework helps to drive climate change and that it will heavily affect the results of countermeasures to it. But institutions can change. If they could not, modern economic growth would never have taken off. Hence, foreseeing the ways in which future institutions might evolve is vital to assessing climate policy options. The IPCC analysis has used scenario analysis to envision the changes likely to arise from factors that lie beyond the scope of the IAMs. However, it made no effort to check the realism of its scenarios against history or the known patterns of institutional change.
A far better approach would be to define scenarios that would be consistent with the kinds of change that history suggests are both possible and likely to be significant for climate policy. Section 6.1 discusses the prospects for current natural states' becoming open orders and the possible consequences of their failure to do so. Section 6.2 describes the implications for climate policy. Section 6.3 raises some issues about institutional change and the pace of technologic change.
6.1 Prospects for Discontinuous Changes
The future course of climate policy, like the course of much else, largely hinges on two questions. One is whether any large society will transition from a natural state to an open order. The second is what the fate will be of natural states that do not make that transition.
If North, Wallis, and Weingast are right, China's political system must
eventually become far more open to competition if that country's economic growth is to continue. This conjecture does not predict either that China's politics will become more open, or that they will not. It merely postulates that growth will stall if openness does not come to prevail. The conjecture is, though, portentous. China's Com mu nist Party may, it is true, contemplate some kinds of reform, but so far it has sought to confine change strictly within bounds consistent with its monopoly on political power. 85
That monopoly depends heavily on limiting entry into both politics and economic activity. The limits of competitive reform may already be near. In recent years, market reform has stalled; speculation about a trapped transition has grown apace. 86 Now, a so-called left-wing opposition appears to be gaining prominence. The goals of this movement are, to say the least, murky. It is equally unclear what its continued rise would mean for the current ruling coalition or the social order that it has built. Against this backdrop, what might be the effects of a longterm slowing in per capita income?
India's political economy, of course, differs greatly from China's. In form, India's government is clearly a democracy. 87 Its path toward an open order society is, though, unclear. The analysis cited in Section 2.2 notes that reforms have garnered some degree of elite support, but they have also met popular resistance. 88
Further liberal reform faces a series of barriers. In so diverse a society, government may lack the social capital—that is, the trust—to effect major reforms. 89 Then too, patronage networks are widespread. 90 Such networks help to maintain cohesion. But political machines rest on the local credibility of patrons. Such systems favor policies that confer benefits on narrowly targeted groups of clients; they do not tend to supply public goods broadly on an impersonal basis. 91
The forces against reform are, therefore, strong. More generally, nothing ensures that all or most nations will ever become open orders. Even among the few societies that reach a point at which they might, in principle, transition into open access orders, as many fall back into natural states as cross the threshold. 92 Thus, South Africa seemed to hold some promise of becoming an open order. Yet calls for large-scale economic nationalization are growing stronger. Such demands could herald a major loss of economic and political freedom. Argentina and the states of the former Soviet Union offer similar cautionary tales. The latter case also shows that such shrinkage can have large impacts on emissions.
Institutional economics can identify conditions that are likely to promote reform and those that are likely to impede it. More importantly, it can offer conjectures about the likely consequences of either success or failure. It also provides mileposts against which to measure progress.
North, Wallis, and Weingast, for instance, cite three such mileposts. One of these is that the rule of law must come to prevail for elites. A second is that the state and other major organizations must acquire identities transcending those of their current leaders; this step allows them to make credible commitments to act in defined ways after those leaders have left the scene. A third is for the state to gain unified control of the military. 93 For now, suffice it to say that the changes that would have to occur for India to become an open order appear to be very large. Those that would be needed in China seem larger still.
6.2 Climate Policy Implications of Order Change and Its Failure
China and India are large enough for their future course to notably affect the pace of climate change. Both have undergone astonishing institutional change. Either or both of these countries might make the transition to fully open access societies. Whatever the outcome for these countries, however, the smooth unfolding of current trends seems less probable than sharp discontinuities.
A change in social order by any major economy is likely to heavily affect the future course of climate change. Such an order change would not occur overnight. Transitions from advanced natural state to open order typically require several decades. This time frame is consistent with that used in much climate policy analysis.
It seems clear that, were major emitters like China, Indonesia, or India to move toward becoming an open access order, the effects on both climate change and climate policy could be momentous. Total economic output would rise, while GHG intensity would fall. The economic growth need not be the result of a scheme for sustainable development for GHG intensity to fall. Opening markets to greater competition will boost efficiency. Energy and natural resources savings are likely to arise as byproducts.
More transparency would also lower one barrier to global agreement on GHG control. A firm rule of law might make market-based GHG controls feasible—even though it might not make them popular. Stronger protection for intellectual property would certainly remove one current barrier to the diffusion of new technologies.
Impacts on adaptation might be somewhat ambiguous. Freer markets would certainly speed and lower the costs of private sector adaptation to a changed climate. Greater wealth would enable all segments of society to adapt. Yet tighter political constraints on public works might have a mixed impact. The constraints might discourage some of
"Rates of innovation vary greatly across sectors and through time as institutions evolve and technological problems wax and wane in difficulty… Contrary to the models used to analyze climate policy, innovations do not arise out of nothing … Analysis that ignores the framework of institutions and organizations surrounding innovation runs the risk of going seriously awry."
the cruder forms of corruption. Then again, such constraints might also slow the progress of needed, large-scale public works.
Order changes in smaller states would have much smaller effects on emissions. Emissions from most of Sub-Saharan Africa, for instance, are low. Nigeria and South Africa are partial exceptions, but neither looms especially large on a global scale. Large-scale deforestation, though, should it gain momentum, might reverse this judgment.
Institutional change in these states could greatly affect their resil ience to climate change. From the viewpoint of climate policy, the greatest impact of institutional change in Africa is likely to be its effect, either positive or negative, on adaptive capacity. Given Africa's large exposure to climate change, these effects on adaptive capacity seem likely to far outweigh any impact that development might have on emissions.
As with other regions, though, breakthroughs to open orders are lowprobability events. In their absence, episodes of shrinkage remain an ever-present danger. Indeed reform itself raises the changes of political instability and violence, and for that reason, even those who would have much to gain from reform often prefer a stable status quo to its risks. 94
To sum up, large-scale institutional change remains rare. When it does occur, though, it is highly consequential. Change can entail violence. The historical record does not show that institutions are driven by some internal dynamic to move from natural states to open orders. To the contrary, retrogression is frequent. Climate policy analysis should remain alert to change in both directions.
6.3 The Institutional Supports of Innovation
Other kinds of institutional change are less dramatic than order changes; yet some of these more subtle effects may still affect the extent of climate change and the prospects for dealing with it. The IPCC, for instance, assumes that rapid rates of technologic change will ensure that the world economy's GHG intensity will fall rapidly.
Some experts, though, object that high technical barriers to progress in GHG control imply that the IPCC's projections are too optimistic. 95 The IPCC seems to assume that because a rate of innovation once prevailed, it can always be maintained. This assumption is dangerously oversimple.
Rates of innovation vary greatly across sectors and through time as institutions evolve and technological problems wax and wane in difficulty. 96 There is no obvious reason for thinking that earlier trends in energy saving will go on forever. Indeed some economists regard the institutions that have nurtured innovation as being in serious danger. Others dispute this contention. Three factors warrant notice.
"Innovation creates both winners and losers; the latter have reason to attempt to block rise and spread of threatening technologies. Over time, vested interests seeking to foster rules that freeze in place the status quo multiply. The conflicts over transgenetic crops, nanotechnology, and hydraulic fracturing of gas and oil wells show that such moves are common. Does progress, therefore, give rise to a complex of rules that eventually stifles its own advance?"
First, aging populations, and the fiscal burdens they imply, may limit governments' future financial support for basic science. Since basic science is critical to the process of innovation, the threat, should it materialize, would be serious. The U.S., European, and Japanese populations are aging. Some level of fiscal stringency seems certain to follow, and, at least in the United States, public spending on R&D has already begun to feel a pinch. 97 The future path of innovation may, therefore, hinge on how deeply the relevant R&D will be cut, and how well governments apportion the remainder.
Second, in the view of some, the "privatization of the scientific commons" prompts concerns about the soundness of the foundations of open science. The institutions and group structures that undergird this enterprise stand outside the market nexus. 98 Examples include open science, credit for priority, and standards of scientific proof.
Moves to expand the scope of patent rights and to draw researchers more directly into proprietary research may raise the costs of using existing knowledge as an input to further research. 99 At the extreme, the growing sway of market forces might threaten the organizations and institutions essential to open science. 100 Without them, innovation may wane. 101 And with public sector financial support for science sinking, the pressures to court market-based funding seem likely to build.
Third, and perhaps most troubling, the strength and number of interests with a stake in retarding innovation seem to be growing. Innovation creates both winners and losers; the latter have reason to attempt to block the rise and spread of threatening technologies; if market barriers fail to stop innovation, its organized opponents may have recourse to nonmarket means. 102 Over time, vested interests seeking to foster rules that freeze in place the status quo multiply. The conflicts over transgenetic crops, nanotechnology, and hydraulic fracturing of gas and oil wells show that such moves are common. Does progress, therefore, give rise to a complex of rules that eventually stifles its own advance? 103
The answer remains unclear. On the one hand, there seems to be evidence that resistance to innovation is growing, at least within the developed world. The accretion of status quo forces is much like that predicted in Mancur Olson's The Rise and Decline of Nations. On the other hand, though, the pace of innovation has not demonstrably slowed. 104
The key point made here is not that the pace of innovation has as yet changed. It relates, instead, to the discussion in Section 1.2 and Chapter 4. Contrary to the models used to analyze climate policy, innovations do not arise out of nothing. In the real world, they are the product of individuals and organizations wrestling with concrete problems and operating within set rules, norms, and procedures. Changes in those institutions and organizational structures are likely to affect the results. Analysis that ignores the framework of institutions and organizations surrounding innovation runs the risk of going seriously awry.
7. New Policy Analysis for New Policy
Chapters 2 through 6 presented a case for believing that U.S. climate policy has gone badly astray. Section 7 asks why climate policy analysis has done so little to sound the alarm and makes some preliminary suggestions about remedies. Section 7.1 discusses the factors that help to explain the otherwise-puzzling obsession of climate policy with GHG control. Section 7.2 suggests trimming the functions of the IPCC to more closely fit that body's capacity. Section 7.3 argues for a U.S. government "red team" analysis of climate policy. It cautions, though, that such an analysis is unlikely until public intellectuals of both left and right throw off their respective climate policy dogmas.
7.1 The Puzzling Focus on GHG Control
The oddest aspect of climate policy analysis is that it has done so little to break the grip of GHG control on the climate policy debate. Indeed it has rarely even tried to do so. To the contrary, up until the last few years, many climate scientists scorned proposals to deal with climate change through adaptation. They regarded it as a distraction from the "real solution," which was assumed to be GHG control; today, CE still stirs many of the same reactions. 105
This tunnel vision springs in large part from modern environmental ethics. Such ethics juxtapose man and nature; they designate nature as good; and they judge human impacts on nature as bad. 106 From this ethic has sprung a new maxim. It is that solving one environmental problem by creating a second is wrong per se. 107
This maxim is widely espoused but incoherent. The solution to one problem almost always occasions others. If melting glaciers threaten water supplies, building dams and reservoirs may well yield greater net benefits than cutting GHG emissions by building windmills and solar arrays. The latter, in any case, as the many local campaigns against wind and solar attest, also substitute one set of environmental problems for another. Therefore, a strict reading of a rule that bans solving one environmental problem by creating another would decree nearly complete inaction. A more permissive reading of it would merely needlessly raise the costs of solving all environmental problems. Neither outcome seems attractive.
Nonetheless, many green NGOs and many climate scientists, too, have deduced from this maxim a preference for GHG controls over any other possible response to climate change. At the same time, the threat of pervasive social engineering in the name of such controls has pushed many conservatives to deny that climate change poses a threat. The clash of these two ideological forces sets the vector of climate policy discourse. The result has been a policy debate that remains stuck on the least viable of all available countermeasures against harm from climate change.
On many issues, economists have attempted to counter environmentalists' policy prescriptions. 108 To a degree, the same has happened on climate. Most economists, for example, have tended to favor gradual GHG reductions over steep ones. 109 Economists have made the case for strategies that stress adaptation, and for R&D to develop CE and new energy sources. In other cases, economists have raised questions about the realism of GHG control schemes.
Economists, though, have also played a leading part in the work of WG-3, and in generating numerous schemes for GHG control. Only a few have forcefully pointed out the deep structural problems that stymie efforts to enact effective emission controls. Three conjectures might help to explain why the dismal science has done so little to puncture the illusion of GHG controls.
First, experience with other pollutants must have made GHG controls seem like a natural response to climate change. In the United States and then in Europe, early policies successfully abated conventional air and water pollutants. Further, the record of Title IV of the U.S. Clean Air Act was interpreted as showing that cap-and-trade programs could produce abatement at costs far below the costs that were estimated ex ante. 110
These claims turn out to be false. Some of the early cost estimates assumed program designs that differed from those that Title IV actually used; further, costs were driven down by later fortunate surprises such as partial rail rate deregulation and an influx of low-sulfur coal into the market. 111 These developments had nothing to do with capand-trade. Nonetheless, the Clinton administration and many green NGOs used this confusion to claim that GHG cap-and-trade would inevitably cost less than predicted. With only a few exceptions, most economists, perhaps out of support for the implied move away from command-and-control mandates, have been less than vigorous in exposing such exaggerations.
Second, many economists tend to draw a veil over the harsher realities of politics. This tendency has also appeared in development economics; there too, international bodies, and many scholars, often tend to minimize harsh political realities. 112 Political and institutional factors are largely impossible to model; so economists tend to simply ignore them. 113 The consequence is, of course, that economic analysis appears to be formal and precise, but this illusion is purchased at the price of excluding all account of the forces that are most affecting events. Most economists' cosmopolitan worldview may also discourage them from enquiring deeply into the distributional conflicts that are so central to national and world politics.
Third, one tradition within the discipline sympathizes with largescale social engineering. Environmental economics may be especially attuned to this strain of thinking. Pigou, against whom Coase argued in "The Problem of Social Cost," was certainly a proponent of social engineering. Indeed, he was such a strong advocate of environmental taxes that, to this day, economists call such measures "Pigouvian taxes." Little wonder that economists from this tradition would be drawn to GHG abatement. The task is, after all, the ne plus ultra of global social engineering.
7.2 The IPCC's Structural Problems
Partly as a result, WG-3, despite economists' strong role in it, has done little or nothing to break the narrow focus on GHG control. Further, the IPCC's rules hobble efforts to solve this problem. The IPCC is, after all, the creature of its member governments. Most of these governments want to maintain the pretense that they are committed to the cause of curbing GHG emissions. Thus, on the one hand, governments would hardly welcome a body of scholars questioning the realism of the goal or the sincerity of states' commitment to it. On the other hand, questioning just these claims is the essential starting point for a more realistic assessment of climate policy options and the trade-offs among them.
WG-3 deals with subjects that are freighted with policy implications. The same could be said of WG-2, which assesses adaptation. The institutions of the IPCC's member states are central in determining choices among strategies for coping with climate change. If these working groups cannot forthrightly consider the effects on those institutions, they have little realistic prospect of discussing the options for dealing with climate change. As a result, these working groups have mainly confined themselves to anodyne generalities and discussions of technology.
One alternative might be for these working groups to highlight the potential importance of institutions and belief systems in shaping events. Such an effort might also, in general terms, point to the poten"Ultimately, though, the weakness of U.S. climate policy analysis centers more on the demand side than on the supply side. To date most of the country's political leaders have simply not demanded good analysis."
tial impacts of discontinuous change. Even these steps, of course, may not be possible within the IPCC's political and institutional constraints. If they are, though, Working Groups 2 and 3 could highlight the importance of long-neglected issues. They could prompt scholars to explore these subjects, and they might also encourage scholars with more expertise in political economy to study climate policy.
7.3 Toward a U.S. Climate Strategy
Whatever the IPCC does, the U.S. government needs a strategic vision of climate policy. The country lacks an institutional focal point for analysis. The National Intelligence Council explores the impacts of climate change on U.S. security. Sundry cabinet departments consider options that fall within their varied remits. This scattered analysis is not intended, though, to encompass either the domestic impacts of climate change or the effects of climate policy on other U.S. national interests. No person or group is charged with codifying the U.S. government's climate change strategy, let alone with testing the logic on which it rests.
Partly as a result, the focus of U.S. climate policy analysis can be blurred. Climate policy is often treated as an exercise in global altruism instead of a means of advancing U.S. interests. Climate policy analysis has often leapt from awareness that climate change poses risks, to the inference that GHG controls are the correct response—indeed, the only one. It has ignored the vital import of institutions and institutional change.
Options exist for correcting these biases. One good starting place might be to launch a variant of a "red team" or "red cell" analysis. Such an analysis should avoid issues of climate science; rather its goal should be to challenge the dogmas of climate policy. Such an effort might, for one thing, generate new scenarios reflecting far more of the logic of institutional change and the patterns of history than did those defined by the IPCC. They might, for instance, look for sources of discontinuous change in national preferences, global power balances, and institutional capacity.
Ultimately, though, the weakness of U.S. climate policy analysis centers more on the demand side than on the supply side. To date most of the country's political and thought leaders have simply not demanded good analysis. Instead, leaders on the left have been willing to turn over climate policy to the green NGOs and a phalanx of green-cloaked rent seekers.
Meanwhile, most leaders on the right have seemed mesmerized by a version of Weingast's paradox: they fear, doubtless with good reason, that a state empowered to impose GHG controls will use this remit as a pretext for gross predation. The right has not, though, promoted remedies more in line with the defense of the public's liberties and wallets; rather, it has often tried to deny the evidence of all risk from climate change.
In the long run neither of these stances is tenable. Climate change does pose some risks; yet those risks do not imply that massive social engineering for GHG control is either possible or desirable. Only when an awareness of this reality sinks in among public intellectuals is a more serious policy discourse likely to emerge.
NOTES
1 John R. McNeill, Something New Under the Sun: An Environmental History of the Twentieth-Century World (New York: W.W. Norton & Company, 2000), 108.
2 Paul Collier, The Bottom Billion: Why the Poorest Countries are Failing and What Can Be Done About It (New York: Oxford University Press), 2007.
3 Joel Mokyr, "Innovation in an Historical Perspective: Tales of Technology and Evolution," in Technological Innovation & Economic Performance, ed. Benn Steil, David G. Victor, and Richard R. Nelson (Princeton: Princeton University Press, 2002), 25; Joel Mokyr, The Gifts of Athena: Historical Origins of the Knowledge Economy (Princeton: Princeton University Press, 2004), 19.
4 Douglass C. North, Structure and Change in Economic History (New York: W.W. Norton & Company, 1981), 172–73.
5 Mancur Olson, Power and Prosperity: Outgrowing Communist and Capitalist Dictatorships (New York: Basic Books, 2000), 11–13.
6 Barry R. Weingast, "The Economic Role of Political Institutions: Market-Pre serving Federalism and Economic Development," Journal of Law, Economics, and Organization 11 (1995): 1–31.
7 Douglass C. North, John Joseph Wallis, and Barry R. Weingast, Violence and Social Orders: A Conceptual Framework for Interpreting Recorded Human History (New York: Cambridge University Press, 2009), 21–25.
8 North et al., Violence and Social Orders, 50.
9 North et al., Violence and Social Orders, 21.
10 Paul Collier, Wars, Guns, and Votes: Democracy in Dangerous Places (New York: HarperCollins, 2009), 7–8.
11 Daron Acemoglu and James A. Robinson, "Paths of Economic and Political De ed. Barry R. Weingast
vel opment," in The Oxford Handbook of Political Economy, and Donald E. Wittman (New York: Oxford University Press, 2006), 688.
12 North et al., Violence and Social Orders, 255.
13 Ronald Coase, "The Problem of Social Cost," in The Firm, the Market, and the Law (Chicago: University of Chicago Press, 1988), 96.
14 Coase, "The Problem of Social Cost," 118.
15 Thomas C. Schelling, "What Makes Greenhouse Sense? Time to Rethink the Ky o to Protocol," Foreign Affairs 81, no. 3 (2002): 3.
16 Daniel H. Rosen and Trevor Houser, "China Energy: A Guide for the Per plexed," Center for Strategic and International Studies, and Peterson Institute for International Economics, May 2007, 4.
17 C. Fred Bergsten, Charles Freeman, Nicholas R. Lardy, and Derek J. Mitchell,
China's Rise: Challenges and Opportunities (Washington, DC: Peterson Insti tute for International Economics, 2008), 148–49.
18 Bergsten et al., China's Rise, 149–50.
19 Bergsten et al., China's Rise, 152.
20 Erica S. Downs, "Business Interest Groups in Chinese Politics: The Case of the Oil Companies," in China's Changing Political Landscape: Prospects for Dem o cracy, ed. Cheng Li (Washington, DC: Brookings Institution Press, 2008), 122.
21 Montek S. Ahluwallia, "Economic Reforms in India Since 1991: Has Grad ualism Worked?" in India's Economic Transition: The Politics of Reforms, ed. Rahul Mukherji (New York: Oxford University Press, 2007), 101.
22 Pranab Bardhan, Awakening Giants, Feet of Clay: Assessing the Economic Rise of China and India, (Princeton: Princeton University Press, 2010), 56.
23 Robert E. Baron, W. David Montgomery, and Sugandha D. Tuladhar, "Black Carbon Mitigation," in Smart Climate Solutions, ed. Bjorn Lomborg (Cam bridge: Cambridge University Press, 2010), 142.
24 Bardhan, Awakening Giants, 56.
25 Stuart Corbridge, "The Contested Geographies of Federalism in Post-Reform In di a," in Understanding India's New Political Economy: A Great Transfor ma tion? ed. Stuart Corbridge, John Harris, Sanjay Reddy, San jay Ruparelia, (New York: Rout ledge, Taylor & Francis Group, 2011), 72.
26 Bardhan, Awakening Giants, 56–57.
27 Ashutosh Varshney, "Mass Politics or Elite Politics? Understanding the Politics of India's Economic Reforms," in India's Economic Transition: The Politics of Reforms, ed. Rahul Mukherji (New York: Oxford University Press, 2007), 148; Radhika Desai, "Hindutva's Ebbing Tide?" in Understanding India's New Political Economy: A Great Transformation? ed. Stuart Corbridge, John Harris, Sanjay Reddy, and Sanjay Ruparelia, (New York: Routledge, Taylor & Francis Group, 2011), 173.
28 Robert H. Bates, Beyond the Miracle of the Market: The Political Economy of Agrarian Development in Kenya (New York: Cambridge University Press, 2005), 86.
29 Varshney, "Mass Politics or Elite Politics?" 158.
30 Stephen D. Krasner, "Structural Causes and Regime Consequences: Regimes as Intervening Variables," in Power, the State, and Sovereignty: Essays on Inter national Relations, ed. Stephen D. Krasner (New York: Routledge, 2009), 113.
31 Richard S. J. Tol, "An Analysis of Mitigation as a Response to Climate Change," in Smart Climate Solutions, ed. Bjorn Lomborg (Cambridge: Cam bridge Univer sity Press, 2010), 95.
32 Lee J. Alston and Bernardo Mueller, "Property Rights and the State," in Handbook of New Institutional Economics, ed. Claude Ménard and Mary M. Shirley (Dordrecht: Springer, 2008), 581.
33 Paul Collier, The Plundered Planet: Why We Must—and How We Can—Man age Nature for Global Prosperity (New York: Oxford University Press, 2010), 178.
34 CENTRA Technology, Inc., and Scitor Corporation, China: The Impact of Cli mate Change to 2030, National Intelligence Council Conference Report CR 2009-09, June 2009, 4; CENTRA Technology, Inc., and Scitor Corporation, India: The Impact of Climate Change to 2030, National Intelligence Council Conference Report CR 2009-07, May 2009, 3.
35 Gary Yohe and Richard S. J. Tol, "Indicators for Social and Economic Coping
Capacity—Moving Toward a Working Definition of Adaptive Capacity," Glo bal Environmental Change 12 (2002): 26.
36 Lloyd Gruber, Ruling the World: Power Politics and the Rise of Supranational Institutions (Princeton: Princeton University Press, 2000), 37.
37 Robert Gilpin, Global Political Economy: Understanding the International Economic Order (Princeton: Princeton University Press, 2001), 95.
38 Robert O. Keohane, After Hegemony: Cooperation and Discord in the World Political Economy (Princeton: Princeton University Press, 1984), 183.
39 Holly K. Gibbs et al., "Carbon Payback Times for Crop-Based Biofuel Ex pansion in the Tropics: The Effects of Changing Yield and Technology," Envir on mental Research Letters 3 (2008): 2.
40 Erin C. Meyers Madeira, Policies to Reduce Emissions from Deforestation and Degradation (REDD) in Developing Countries: An Examination of the Issues Facing the Incorporation of REDD into Market-Based Climate Policies, (Washington, DC: Re sources for the Future, 2008), 52.
41 Carlos A. Nobre, "Tropical Land-Use Change Emissions—Smaller, but Still Very Significant," in Climate Change Blog, The World Bank Group, 2010, http://climatechange.worldbank.org/node/5405.
42 Meyers Madeira, Policies to Reduce Emissions from Deforestation and Degra dation, 24.
43 Lee J. Alston and Bernardo Mueller, "Property Rights, Land Conflict and Tenancy in Brazil," National Bureau of Economic Research, Working Paper no. 15771, February 2010, 2, http://www.nber.org/papers/w15771.
44 Lorenzo Cotula and James Mayers, Tenure in REDD: Start-Point or Aftert hought? (London: International Institute for Environment and Develop ment, 2009), 16.
45 Lee J. Alston and Bernardo Mueller, "Property Rights and the State," in Hand book of New Institutional Economics, ed. Claude Menard and Mary M. Shirley (Dordrecht: Springer, 2008), 582.
46 Dan Slater, Ordering Power: Contentious Politics and Authoritarian Leviathans in Southeast Asia (New York: Cambridge University Press, 2010), 63.
47 William Easterly, "Institutions: Top Down or Bottom Up?" American Eco no mic Review 98, no. 2 (May 2008): 97–98.
48 Barry R. Weingast, "Why Developing Countries Prove So Resistant to the Rule of Law," in Global Perspectives on the Rule of Law, ed. James J. Heckman, Robert L. Nelson, and Lee Cabatingan (New York: Routledge-Cavendish, 2010), 47.
49 Helmut J. Geist and Eric F. Lambin, "Proximate Causes and Underlying Driving
Forces of Tropical Deforestation," Bioscience52, no. 2 (February 2002): 146.
50 Thomas W. Hertel, Wallace E. Tyner, and Dileep K. Bir, "The Global Impacts of Biofuel Mandates," Energy Journal 31, no. 1 (2010): 98.
51 Meyers Madeira, Policies to Reduce Emissions from Deforestation and Degra dation, based on Table 2-2, p. 21.
51 Michael Wara, "Measuring the Clean Development Mechanism's Performance and Potential," UCLA Law Review 55 (2008): 1759–1803.
53 Christopher J. Bosso, Environment, Inc.: From Grassroots to Beltway (Law rence: University Press of Kansas, 2005), 12–13.
54 Willett Kempton, James S. Boster, and Jennifer A. Hartley, Environmental Values in American Culture (Cambridge, MA: MIT Press, 1995), 211–14.
55 R. Douglas Arnold, The Logic of Congressional Action (New Haven: Yale Uni versity Press, 1990), 9.
56 Isabel Galiana and Chris Green, "An Analysis of a Technology-led Climate Policy as a Response to Climate Change," in Smart Climate Solutions, ed. Bjorn Lomborg (Cambridge: Cambridge University Press, 2010), 302.
57 Douglas W. Allen, The Institutional Revolution: Measurement and the Eco no mic Emergence of the Modern World (Chicago: University of Chicago Press, 2012, 27.
58 Kenneth J. Arrow, "Economic Welfare and the Allocation of Resources for In ven tion," in The Rate and Direction of Inventive Activity: Economic and Social Factors, ed. Richard Nelson (Princeton: Princeton University Press, 1962), 619; Nathan Rosenberg, "Why Do Firms Do Basic Research (With Their Own Money)?" Research Policy 19 (1990): 165–74.
59 Jeffrey S. Banks, Linda R. Cohen, and Roger G. Noll, "The Politics of Com mercial R&D Programs," in The Technology Pork Barrel (Washington, DC: Brookings Institution Press, 1991), 73–74.
60 Kenneth J. Arrow, Linda R. Cohen, Paul A. David, Robert W. Hahn, Charles D. Kolstad, L. Lee Lane, W. David Montgomery, Richard R. Nelson, Roger G. Noll, and Anne E. Smith, "A Statement on the Appropriate Role for Research and Devel opment in Climate Policy," Economists' Voice, 6, no.1 (2008): Article 6.
61 Banks et al., "The Politics of Commercial R&D Programs," 57–58.
62 Mokyr, The Gifts of Athena, 220.
63 Martin I. Hoffert, et al, "Advanced Technology Paths to Global Climate Stability: Energy for a Greenhouse Planet," Science 298 (2002): 986.
64 Timur Kuran, The Long Divergence: How Islamic Law Held Back the Middle East (Princeton: Princeton University Press, 2011), 16.
65 Aaron T. Wolf, "Conflict and Cooperation over Transboundary Waters," UN Human Development Report Occasional Paper 2006/19, 44.
66 Gary D. Libecap, "Water Woes: Using Markets to Quench the Thirst of the American West," Milken Institute Review, fourth quarter (2010): 68.
67 North et al., Violence and Social Orders, 133–34.
68 Susan Rice, "The National Security Implications of Global Poverty," in Con front ing Poverty: Weak States and U.S. National Security, ed. Susan E. Rice, Corinne Graff, and Carlos Pasqual (Washington: Brookings Institution Press, 2010), 6.
69 Bloomberg New Energy Finance, "Have Developed Nations Broken Their Promise on $30bn 'Fast-Start' Finance?" white paper, September 5, 2011.
70 William Easterly, The White Man's Burden: Why the West's Efforts to Aid the Rest Have Done So Much Ill and So Little Good (New York: Penguin Press, 2006), 11.
71 Robert H. Bates, Prosperity and Violence: The Political Economy of Dev elop ment (New York: W.W. Norton & Company, 2010), 64.
72 Barry R. Weingast, "The Political Foundations of Democracy and the Rule of Law," American Political Science Review 91, no. 2 (June 1997): 261.
73 Collier, Wars, Guns, and Votes, 232.
74 Fredrik Erixon, "Green Protectionism in the European Union: How Europe's Biofuels Policy and the Renewable Energy Directive Violate WTO Com mit -
ments," ECIPE paper no. 1, 2009, 13.
75 Lee Lane, "Emission Controls, Economic Growth, and Palm Oil Produc tion," Hudson Institute, October 2011, 13.
76 Tim M. Lenton and Nem E. Vaughan, "The Radiative Forcing Potential of Dif fer ent Climate Geoengineering Options," Atmospheric Chemistry & Physics Discus sions 9 (2009): 5553.
77 John Latham et al., "Global Temperature Stabilization via Controlled Albedo Enhancement of Low-Level Maritime Clouds," Philosophical Transactions of the Royal Society (2008): 3969.
78 Keith Bower et al., "Computational Assessment of a Proposed Technique for Global Warming Mitigation via Albedo-Enhancement of Marine Stratocumulus Clouds," Atmospheric Research 82, no. 1-2 (2006): 329.
79 Alan Robock et al., "The Benefits, Risks, and Costs of Stratospheric Geoen gineering," Geophysical Research Letters 36 (2009): 4–7.
80 Paul J. Crutzen, "Albedo Enhancement by Stratospheric Sulfur Injections: A Con tribution to Resolve a Policy Dilemma?" 77, no. 3-4 Climatic Change (2006): 213.
81 J. Eric Bickel and Lee Lane, "An Analysis of Climate Engineering as a Response to Climate Change," in Smart Climate Solutions, ed. Bjorn Lomborg (Cam bridge: Cambridge University Press, 2010), 40.
82 Bickel and Lane, "An Analysis of Climate Engineering as a Response to Climate Change," 20–21.
83 Alan Robock, "20 Reasons Why Geoengineering May be a Bad Idea," Bulletin of the Atomic Scientists 64, no. 2 (2008): 14–18.
84 David G. Victor, M. Granger Morgan, Jay Apt, John Steinbruner, and Katharine Ricke,"The Geoengineering Option: A Last Resort Against Global Warming?" Foreign Affairs 88, no. 2, (2009).
85 Daniel W. Drezner, All Politics is Global: Explaining International Regulatory Regimes (Princeton: Princeton University Press, 2007), 34.
86 Josh Horton, Geoengineering Politics, "European Parliament Comes out against Geoengineering,"
http://geoengineeringpolitics.blogspot.com/2011/10/european-parliament-comes- out-against.html.
87 Masahiro Sugiyama and Taishi Sugiyama, "Interpretation of CBD COP 10 Deci sion on Geoengineering," Central Research Institute of Electric Power Industry (Japan), http://criepi.denken.or.jp/en/serc/research_re/download/10013dp.pdf.
88 Ambassador Richard Benedick, presentation at the International Conference on Cli mate Intervention Technologies, Asilomar, 2010. See Eli Kintisch, "Scientists Call for 'Climate Intervention' Research with 'Humility,'" Science Insider, March 26, 2010.
89 Andrew J. Nathan, "China's Political Trajectory: What are the Chinese Say ing?" in China's Changing Political Landscape: Prospects for Democracy, ed. Cheng Li (Washington, DC: Brookings Institution Press, 2008), 39.
90 Minxin Pei, China's Trapped Transition: The Limits of Developmental Auto cracy (Cambridge: Harvard University Press, 2006), 31.
91 Charles Tilly, Democracy (New York: Cambridge University Press, 2007), 55.
92 Bardhan, Awakening Giants, 126.
93 Tilly, Democracy, 57.
94 Bruce Bueno de Mesquita, Alastair Smith, Randolph M. Siversn, and James D. Morrow, The Logic of Political Survival (Cambridge, MA: MIT Press, 2003), 471.
95 Philip Keefer and Razvan Vlaicu, "Democracy, Credibility and Clientelism," World Bank WPS-3472, 26, 2007,
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96 North et al., Violence and Social Orders, 253–54.
97 North et al., Violence and Social Orders, 151.
98 Barry R. Weingast, "Why Developing Countries Prove So Resistant to the Rule of Law," in Global Perspectives on the Rule of Law, ed. James J. Heckman, Robert L. Nelson, and Lee Cabatingan (New York: Routledge-Cavendish, 2010).
99 Galiana and Green, "An Analysis of a Technology-led Climate Policy as a Response to Climate Change," 195–96.
100 Richard R. Nelson and Sidney G. Winter, "In Search of Useful Theory of Innovation," Research Policy 6, no. 1 (1977): 47–48.
101 Peter S. Heller, Who Will Pay? Coping with Aging Societies, Climate Change, and Other Long-Term Fiscal Challenges (Washington, D.C.: International Monetary Fund, 2003); Donald E. Stokes, Pasteur's Quadrant: Basic Science and Technological Innovation (Washington, DC: Brookings Institution Press, 1997), 58–59.
102 Richard R. Nelson, "The Market Economy, and the Scientific Commons," 2, http://www.law.umich.edu/centersandprograms/lawandeconomics/ workshops/Documents/winter2006/nelson.pdf.
103 Nelson, "The Market Economy, and the Scientific Commons," 7.
104 Paul A. David, "The Historical Origins of 'Open Science': An Essay on Patronage, Reputation and Common Agency Contracting in the Scientific Revolution," Capitalism and Society 3, no. 2 (2008): 13.
105 David, "The Historical Origins of 'Open Science,'" 6.
106 Mokyr, The Gifts of Athena, 254.
107 Mokyr, The Gifts of Athena, 278.
108 Mokyr, The Gifts of Athena, 275.
109 Robert H. Nelson, "Earth's Optimal Temperature," Faculty Voice, Univer sity of Maryland, May 2006, 6.
110 Robert H. Nelson, The New Holy Wars: Economic Religion vs. Environ mental Religion in Contemporary America (University Park, PA: Pennsylvania State University Press, 2010), 117–18.
111 Phillip E. Tetlock and Michael Oppenheimer, "The Boundaries of the Think able," Daedalus (Spring 2008): 137, 2; 69.
112 Nelson, The New Holy Wars, 3.
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ABOUT THE AUTHOR
LEE LANE is a Hudson Institute Visiting Fellow; he is also a Senior Con sultant at Charles River Associates. Previously, Lane was Co-Director of the Geoengineering Project at the American Enterprise Institute, Executive Director of the Climate Policy Center, Vice Pres ident for Re earch at CSX Corporation, Vice President for Policy at the Association of American Railroads, and he founded the consulting firm Policy Services, Inc.
He is the author of Strategic Options for the Bush Administration Climate Policy (AEI Press, 2006), and he has authored or co-authored numerous policy briefing papers, articles, and book chapters. NASA selected Lane to be the lead author of a report on geoengineering as a tool of climate policy. He has testified before the U.S. House of Rep resentatives Committee on Science and Technology and has frequently been an invited expert at policy conferences.
Lane has published columns or been quoted in the Wall Street Journal, the New York Times, the Financial Times, Time Magazine, the Wash ing ton Times, Regulation, Milken Institute Review, and many other outlets.
HUDSON INSTITUTE
Hudson Institute is a nonpartisan policy research organization dedicated to innovative research and analysis. Founded in 1961, Hudson is celebrating a half century of forging ideas that promote security, prosperity, and freedom. www.hudson.org
50th ANNIVERSARY 1961–2011
1015 15TH STREET, N.W., SIXTH FLOOR, WASHINGTON, D.C. 20005 TELEPHONE 202-974-2400 WWW.HUDSON.ORG
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ICE NEWS
No 25 OFFICIAL NEWSLETTER FOR FIGURE SKATING IN THE WESTERN CAPE JULY 2009
SAFSA News, views & happenings
Winter has set in, and the temperature outside has dropped. Not so inside the rink, as thanks to the upgrades made to the engine room, warm air is now circulated along the top stands, while leaving the colder air down at the ice surface where it should be. A very welcome adjustment, especially for the mums who spend many hours on the stands during lesson time.
The first half of 2009 has passed, and 4 Continents in February, Senior Worlds in March, Cape Inter Provincial Championship in May and Junior Blades Championship in early June have all taken place.
December 2009, with an additional test on 30 th August but NO TESTS in September or October. Please adhere to the closing date for entries, which is 2 weeks prior to the test. All fees must accompany the entry to be eligible, and no skaters will be allowed to take the tests if patch fees are not paid up to date. All entries must be done through the coach on the prescribed paperwork.
Sadly the KZN Inter-Provincial was cancelled due to too few entries received. This unfortunately results in fewer opportunities for qualifying and improving selection rankings. Let's hope that WP will be able to support this event in greater numbers next year.
GautengInter Provincial (24 to 26 July) now lies ahead, and WP has 30 skaters participating in this event. We wish our skaters well, and know that they will all be doing their best and keep the WP name high.
Anglica Davids is the new test secretary, and all medal test queries are to be referred to her.
Important Changes to SAFSA Rules
At the recent SAFSA Council meeting held in Durban on
13
th
June
2009, the
2009 Forthcoming Attractions…!
Anne Falconer and Tiana Stanton are coordinating the WP
July 24-26 Gauteng Inter Provincial at Kempton Park August 15-16 WP Champs in Cape Town September 20 Black Panthers Champs in Cape Town September 21 to October 5 Schulman Course October 11 to 14 SA Nationals in Pretoria October 25 Rising Stars at Northgate (Non-National) November 15 Cape Inter Club Champs November 28: JB Christmas Party November 29: BP Christmas Party November 29 Sunday Night Club Charity Gala team for this event, and have already sized tracksuits
and practice outfits.
As per the new ruling (see below), only Provincial tracksuits will be permitted at this event – no green RSA tracksuits allowed.
New WP Committee 2009
At the AGM held on 3 rd June, the following members were elected to the committee, and portfolios allocated at the first committee meeting held on 10 th June. The committee for 2009 / 10 is as follows
Medal tests will take place on 1 st Sunday monthly until following was adopted:
1. Primary colours no longer awarded.
2. Novice, Junior and Senior Colours remain only for ISU listed events.
3. SAFSA Tracksuit to remain as official dress to international events (identity).
4. Protea colours only for Senior & Junior World Championships and 4 Continents, awarded by SASCOC.
5. Provincial tracksuits only to be worn to Nationals, Inter-Provincials and Provincial championships as well as the parade – no green tracksuits/ blazers permitted.
Draws at above events: Highest colours i.e. blazer/badge
Practice dress: Provincial outfits as ruled by the
Province concerned.
Kindly ensure that you adhere to this ruling, as you could be disqualified from events should you transgress.
6. Star Test Pass marks The NTC currently reviewing across the board, and a final decision to be made at the Gauteng Interprovincial. All tests taken after Nationals 08, (August08) can be resubmitted with the correct documentation for accreditation, should this new mark be applicable to a previously attempted test which was not passed.
7. Increase in Subs 2010/2011
Members
R 150.00 per annum
Life Members
R 75.00 per annum
Synchronized Skating Seminar
The ISU sponsored Synchronized Skating Seminar for skaters, Judges and Coaches was held at the rink during April 2009.
Cathy Dalton, coach of the famous "Black Ice" Canadian Synchro Champions was the designated coach, and along with assistant coach Susan Pettes and demonstrating skaters MK and Mac conducted a gruelling course daily on and off the ice from 14-26 th .
Chris Buchanan, an ISU Championship controller and referee, conducted the Judges and controllers/specialist section, and here too, everyone concerned was turned inside out, trying to absorb all the information given. The judges and specialists had to do written and practical exams which he assessed.
All of this will now enable the Synchronized skating to be judged on the new judging system, as up to now no training has been available to make the switch, sustain the development, and ultimately be in line for competing at Synchro Worlds once again.
Schulman course
The annual Schulman course will be held later this year due to the Synchro course taking its timeslot, and is scheduled for the end of September. More info nearer the time.
Patches
Kindly ensure that your patches are paid by the 7 th of each month to avoid the embarrassment of being asked to leave the ice.
Should there be a problem, please approach Brenda Allely in the skate shop, that she is aware and can make the necessary notes in the patch book.
Coaches
Dino Quattrocecere and Anita Macchi have joined the WP coaching fraternity and we welcome them to the fold.
Nationals 2009 Kollonade Pretoria
Nationals will take place from 11-14 th October, and we expect to have a good contingent from WP attending.
A group booking has been secured at the Jackaranda Lodge for the WP team, as well as busses for transport to and from the rink.
A sub-committee will be appointed to handle everything to do with Nationals, and information will be supplied via the notice board on an ongoing basis.
A Nationals Fundraiser will be held at the Barnyard Theatre on Wed 16 th September, where all Nationals entrants will be given the opportunity to sell tickets to raise funds towards your trip.
Colleen Servais is coordinating this project, and information will be available soon.
The show is " Diamonds and Pearls", and tickets will cost R110 each. Those that have made use of this fundraising event in the past will recall just how much fun was had by all.
International Training
Quiesto Spieringshoek has been training in the UK for the past few months. UK partner Zoe is a WP member now, and they will be representing South Africa at any future Internationals they may attend. They will be competing at WP Champs, and we look forward to that.
Kim Falconer is spending a gap year training in Germany. She will be attending the Gauteng InterProvincial, and will be flying in from Germany to compete.
Additional training
You are reminded that to become a successful figure skater you are required to train both on the ice and off the ice. The Ice Station provides additional floor training by Karen in the Gym and Margie in the Ballet room.
Communication
The new SAFSA WP committee will endeavour to disseminate information to our WP skaters and parents as fast as possible and the main medium of communication will be via email as this is quick and inexpensive. Please ensure that your email address is kept up to date on our records (latest update received during the renewal period). If there have been any changes, please email [email protected]. Should you not yet be on email, please ensure that you read the notice boards.
If you have any questions or concerns, please come and discuss these with one of the committee members, we will do our best to assist.
New Members
The second half of this year will see the start of regular parent meetings for our new-comers. Any of our older members who may have forgotten the basics are welcome to attend. Dates and times will be given in due course.
Websites
We request that skaters and parents, making use of such sites and forums as facebook, twitter, etc, be aware of how negative statements can be damaging to themselves and our sport. Disrespectful behaviour both inside and outside our icerink will not be tolerated.
We remind you to make use of the following websites for in-depth information on our sport:
www.isu.org www.safsa.org.za
www.icerink.co.za
Finally we would like to wish all of you well for the rest of the year, and for those of you going to Gauteng for Inter Provincials this month, have a safe trip and good luck for the competition.
Good Skating
The SAFSA WP Committee
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STANDARDS & MANUALS
Processing Complaints of Ethics Code Violations in ACPE
Revised June 2015 Interim Changes Highlighted
Association for Clinical Pastoral Education
One West Court Square, Suite 325, Decatur GA 30030 Tel. (404) 320-1472 www.acpe.edu
STANDARDS & MANUALS
Processing Complaints of Ethics Code Violations In ACPE
Revised 2015
Association for Clinical Pastoral Education, Inc.
One West Court Square, Suite 325, Decatur GA 30030 Tel. 404.320.1472 www.acpe.edu
PROCESSING COMPLAINTS OF ETHICS CODE VIOLATIONS Association for Clinical Pastoral Education, Inc.
TABLE OF CONTENTS
15
15
Preface
ACPE is committed to maintaining high standards of ethical behavior in its programs and by its members. That commitment is evidenced in the first section of the ACPE Standards, Standard 100 Code of Professional Ethics for ACPE Members. The Association recognizes that complaints alleging infractions of the Code by members will be made from time to time by those who work with, are taught by and/or served by ACPE members. That reality necessitates a thorough, balanced and fair process for addressing allegations. This manual provides the guidelines that the Professional Ethics Commission or its designee uses adjudicating complaints alleging violation of the Code of Ethics (100 Standards).
Note: 2015 Definition of Terms (www.acpe.edu, manuals section) is an important companion document. Please review it carefully for definitions of relevant terms; they are essential to interpretation and use of 2015 Processing Complaints of Ethics Code Violations in ACPE.
PROCESSING COMPLAINTS OF ETHICS CODE VIOLATIONS The Association for Clinical Pastoral Education, Inc
Part One -- Introduction
I. Mission and Vision of the Association for Clinical Pastoral Education, Inc. (ACPE)
Mission
Advancing exceptional experience-based theological education and professional practice to heal a hurting world.
Vision
We will be an organization where people of diverse faith traditions, backgrounds, and cultures collaborate to provide innovative experiential education. We will lead in the theory and practice of clinical education for spiritual care. We will promote and broaden the provision of quality professional theological education in a variety of settings.
Values
Education: We value a process model of education that is student centered, vigorously reflective and potentially transformative. We understand professional competence as the integration of personal story, religious heritage and theological understanding and knowledge of the behavioral sciences. This integration leads to personal awareness, integrity in relationships and receptivity to diversity.
Diversity: We value diversity and strive to educate culturally competent clinical pastoral educators and spiritual care providers. We engage in professional development in order to increase cultural awareness.
Collegiality: We value relationships marked by accountability, mutual respect, clear communication and ethical practice that supports personal and professional integration and care of self and others.
II. Professional Ethics Commission (the "Commission" or "PEC")
A. Purpose
The purpose of the PEC is to provide: (1) education about issues of professional ethics and (2) orderly and fair processes for adjudicating complaints of ethical violations (100 Standards) made against ACPE members or ACPE centers or satellite programs and against regional or national ACPE entities. Rulings of the PEC are final and binding for ACPE.
B. Functions
1. Educate ACPE members, consumers and other interested persons about ethical Clinical Pastoral Education according to ACPE standards; inform persons of ACPE procedures to resolve complaints; participate with other ACPE Commissions in processes and projects to maximize performance according to ACPE Standards within the organization and in CPE practice.
2. Adjudicate cases and appeals on grounds specified by ACPE.
4. Receive and process referrals from the Emergency Review Committee, other Commissions, the ACPE Executive Director, of allegations of ethical or felonious misconduct by ACPE members or entities.
3. Impose and monitor sanctions according to the processes of ACPE.
C. Authority
The PEC has final authority to determine whether violations of ACPE ethics standards have occurred and to recommend sanctions.
D. Composition
The PEC is comprised of ten members, a representative from each region and the chair. Members are elected for a three-year term (renewable for another term) by the Board of Representatives upon nomination by the Representation and Nomination Committee from the candidate(s) suggested by each region. Preference will be given to people with training in the ACPE, APC or NAJC Ethics Codes and Procedures.
Note: all references to CPE throughout this document are understood to be ACPE certified Clinical Pastoral Education (ACPE-CPE).
Part Two - - Processing Complaints of Ethics Code
CONSENT: Persons participating in an ACPE accreditation, certification, ethics, or appeal process consent to that process as described in relevant ACPE materials and give permission for the disclosure of information and materials from one ACPE process to another ACPE process if, in the determination of ACPE representatives, that should be necessary for ensuring compliance with ACPE standards. When one process makes referral to another, the referring body may be asked for additional information and will be informed of the work of the commission to which the referral was made. The Inter Commission Referral Form is Appendix 13 in both the Accreditation and Certification Commissions' 2015 Manuals.
I. WHERE TO BEGIN
Launching and responding to a complaint is intensive and demanding, not to be undertaken casually. One should study the instructions closely and prepare carefully and thoughtfully for participation.
Making an Ethics Allegation (ACPE Standards 100):
A. Grievances giving rise to a complaint should first be addressed at the local level. Attempts should be made to resolve grievances in an informal collegial manner.
B. If a grievance about an ACPE member or ACPE center is not resolved informally, the complainant(s) may file a formal complaint with the center. The complaint should be processed according to the procedures of the center for handling complaints, preferably within 60 days of the center's receiving the complaint.
C. If the complaint is not resolved at the center level or issues remain over which ACPE has jurisdiction, the complainant may file a complaint with the Executive Director of the ACPE:
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Executive Director Association for Clinical Pastoral Education One West Court Square, Suite 325 Decatur, Georgia 30030 404-320-1472 [email protected] or with the Executive Director of the APC: Chief Executive Officer Association of Professional Chaplains 1701 East Woodfield Road, Suite 400 Schaumburg, Illinois 60173 847-240-1014 [email protected].
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II. COMPLAINT BASICS
A. A Complaint is a grievance, presented in writing and signed, involving an alleged violation of the ethical criteria established by the ACPE Code of Ethics (Standard 100). A complaint must identify the specific standard or process alleged violated. Complaints may be filed by those who consider themselves harmed by an alleged violation or by any person(s) having substantive knowledge of a violation of the ACPE ethics code.
B. The complaint must name an individual(s) over whom ACPE has jurisdiction. In filing the complaint, the complainant consents to these processes and gives permission for the disclosure of all information to the process investigators, adjudicators and the respondent. In most instances, the complainant will be required to submit a Complaint Form (available from ACPE or APC Executive Directors http://www.acpe.edu or http://www.professionalchaplains.org)
C. ACPE Standards in effect at the time of the alleged incident giving rise to the complaint will be used to assess conduct; the ACPE Ethics manual and procedures for processing complaints in effect at the time the complaint is addressed by ACPE will be followed.
D. ACPE Standard 103.4 states: "In relation to ACPE, members do not make intentionally false, misleading or incomplete statements about their work or ethical behavior. This is binding on members. It is expected of nonmembers who engage the complaint process."
III. TIME LIMITS FOR FILING COMPLAINTS
A. Reporting an alleged violation close to its occurrence is important to the effective investigation and evaluation of evidence as well as to the wellbeing of all people involved.
1. The time limit is ten years for a complaint alleging sexual exploitation and six months for a complaint not involving sexual exploitation. A definition of sexual exploitation is found in the Definition of Terms manual.
2. Time limits begin with the event that occasions the complaint or with the completion of the educational/employment experience at the site where the event is alleged to have occurred.
B. Exception to time limit: Any complaint may be made within a longer period if the delay is caused by fraud, intimidation or other unethical conduct that prevents the earlier emergence of the complaint. In extraordinary circumstances, time limits may be waived by the PEC chair in consultation and agreement with three other PEC members and ethics consultant at their discretion when initiated by request of the Executive Director, an Initial Review Panel (IRP), or other Commission where to do otherwise would seriously jeopardize the safety or welfare of a program or students in the opinion of those waiving the time lines.
IV. PARTICULAR REPORTING IMPLICATIONS FOR ACPE MEMBERS
A. Standard 100 of the ACPE Code of Professional Ethics states:
"ACPE members agree to adhere to a standard of conduct consistent with the code of ethics established in ACPE standards. Members are required to sign the Accountability For Ethical Conduct Policy Report Form (ACPE 2015 Standards, Appendix 1) yearly and return it with their annual ACPE dues. Members are required to provide promptly notice on this form (available at www.acpe.edu)to the ACPE Executive Director of any complaint of unethical or felonious conduct made against them in a civil, criminal, ecclesiastical, employment, or professional organization's forum, including complaints within ACPE or APC."
Note: The above self-reporting requirement introducing Standard 100 is different from a complaint filed against a member. The circumstances of many self-reports will not require any action by ACPE. In cases where an ACPE standard has been violated and/or the safety, well-being, professional reputation of the member or, others are implicated, the situation will be evaluated on its own merits by an Accountability Review Committee composed of the ED, Chair of the Professional Ethics Commission, Chair of the Certification Commission, a Board member.
"Any ACPE member may invoke an ethics review process when a member's conduct, inside or outside their professional work involves an alleged abuse of power or authority, involves an alleged felony, or is the subject of civil action or discipline in another forum when any of these impinge upon the ability of a member to function effectively and credibly as a CPE supervisor, chaplain or spiritual care provider." (ACPE Standard 100)
B. ACPE members who are aware of probable ethical violations by colleagues that are not threatening to the well-being of the member or others are encouraged to engage the member in discussion to clarify the behavior in question and correct it. If this intervention fails, or if an alleged violation appears to be a serious threat to the wellbeing of the member or others, members should consider filing a complaint.
V. COMPLAINTS AGAINST FORMER MEMBERS of ACPE
A. A complaint against a member who resigns after the complaint is filed will be processed according to the procedures outlined below. If a sanction is imposed, the former member cannot rejoin ACPE until the terms of the sanction have been fulfilled.
B. If a complaint is filed against a former member who resigned or was removed from ACPE at least one year prior to the filing of the complaint, the complaint will not be processed or retained. In situations of less than a year, the complaint may go forward.
C. Where applicable, requests for resignation will be deferred until a pending complaint is resolved.
D. In each of the above situations (A-C), if the respondent does not participate throughout the ethics complaint process, there is no right of appeal of the finding or sanction. Notification and publication of the finding and sanction will be as described in Section XIV.
VI. MEMBER WHO DEFAULTS ON PROCESS
A. It is the responsibility of members to keep their contact information current with the ACPE office. ACPE and its representatives will exercise due diligence (certified mail, email, and phone) to inform a member when an action requires immediate attention. If after forty-five calendar days, service has not been acknowledged by the member to ACPE, the member's credentials may be suspended. Restoration of credentials will be decided on a case-by-case basis according to the professional judgment of the ED, Chair of the Professional Ethics Commission, Chair of the Certification Commission, and a Board member. Notification of suspension will follow section XIV of this Manual.
B. A respondent who does not respond according to the time frame in a notice for information may be considered in default. The process may continue without the materials or input sought from the member. Default negates any rights of appeal of findings or sanctions in a case against the member.
VII. BIAS OR CONFLICT OF INTEREST
It is expected that anyone invited to participate in any aspect of reviewing, mediating, investigating or adjudicating an ethics complaint will decline if they have a conflict of interest or personal or professional relationship with a party or entity that would lead to bias or the perception thereof. A member may challenge the appointment of any person to any of these positions if that member can demonstrate reasonable cause for the member to believe there is conflict of interest or bias. A member does not have unlimited challenges to appointments and the judgment as to whether or not a conflict or bias exists will remain with the people designated to make the appointments.
VIII. CONFIDENTIALITY
Confidentiality is of utmost importance. Those involved in investigations, mediations, adjudications, appeals, and record keeping shall respect the parties' confidentiality as far as possible without impeding the pursuit of the truth of the allegations or violating state reporting laws or evidentiary procedures. Parties and witnesses contacted are expected to respect the need for confidentiality in order to protect privacy and fair process for everyone involved. To obtain guidance and support, the parties to the complaint may discuss the complaint with their families and helping professionals; however, all must respect the need for privacy.
IX. THE ACPE/APC ETHICS COLLABORATION
A. The Boards of the ACPE and APC have authorized the two organizations to work collaboratively on ethics investigative and adjudicatory processes. Members from both associations are trained as investigators and members of the two Ethics Commissions are trained to adjudicate jointly. When is a case referred to the ACPE PEC by another ACPE Commission, ACPE will usually handle the case outside the collaborative process but following the procedures in this Manual. The same is true for Commission referrals within APC. Most cases, however, will be processed through the Collaboration whose decisions are binding on parties by the same terms as the actions of their organization's Ethics Commission.
B. When an ED of either APC or ACPE receives a complaint, both confer together to determine membership status of the respondent and decide which ED will manage the case. The Ethics Commission Chair of the other organization will lead the case process. For example, if the ACPE ED takes the case for management, the APC Ethics Commission Chair will lead the case process. Hearing and Appeals Panels will be composed of trained members from each Commission.
X. THE INITIAL REVIEW PANEL (IRP)
A. An Initial Review Panel (IRP1) convenes by telephone or by Internet voice connection. The ED managing the case and the Ethics Commission Chair leading the process (EPC), with the ethics consultant [if one], determine if there is jurisdiction for the complaint:
1. Is the respondent a member of ACPE and or APC?
2. Are the circumstances of conduct alleged within the purview of association standards?
3. Are time limits for filing met or are any exceptions applicable? And
4. If alleged conduct were proven, would it violate standard(s) of ACPE or APC?
If "no" to any question, the complaint is dismissed for lack of jurisdiction.
If "yes" to 1-4, jurisdiction is established and the ED sends the complaint and a response form to the respondent and requests a reply to the ED within 30 calendar days.
B. Cross Commission Referral
Jurisdiction is established in the case of a cross commission referral and the ED sends a copy of the cross commission referral form and a response form to the respondent and requests a reply to the ED within 30 calendar days.
C. After the response is received, the IRP reconvenes (IRP2) to consider the status of the process:
1. If the complaint was not addressed at the local level, and it is appropriate, the ED instructs complainant and respondent to engage local resolution processes. Their materials can be re-submitted after local process if no resolution occurs.
2. If a local option has been engaged and not succeeded, or is inappropriate to engage, or issues remain over which ACPE has concern, the IRP may:
b. hold complaint pending completion of another forum's adjudication;
a. refer materials to another commission of the association;
c. suggest mediation to both parties prior to investigation (see XI below);
e. conclude there is cause for an investigation to commence;
d. name additional standards to be considered;
f. conclude there is not cause for an investigation and dismiss the complaint, (may suggest other avenues for addressing situation alleged);
h. implement the determined option(s).
g. conclude no cause for an investigation; based on data at hand, refer for Hearing and/or sanctions;
3. If an investigation will commence, an investigator is appointed by the managing ED from the Collaborative investigative pool of the respondent's association.
D. Notification: The ED will notify the parties of the IRP action. Notification will normally be by secure email unless a party has requested certified U.S. mail or specified another means of notification that is both secure and provides notice of delivery. The regional PEC representative of ACPE respondents will be notified. The Regional Director may be informed by the regional representative.
1. If there will be mediation, the ED make the arrangements as set forth in section XI. For ACPE respondents, their Regional Director may assist the ED.
2. If there will be an investigation, the notification will include the specific allegations, the standards alleged violated and the name and contact information of the investigator(s). If the IRP has implicated additional standards, the respondent is informed. Henceforth, all associational contact with the parties is only through the investigator until the investigation is complete.
3. Section XIII governs cases proceeding directly to a Hearing; Section XIII.V those cases proceeding directly to a Sanction.
XI. PROCESSING COMPLAINTS THROUGH MEDIATION
A. Mediation generally precedes the commencement of the investigative process, if it is used. Occasionally, it may occur during or after the investigative process if both parties and the IRP and/or investigator concur. Time lines toll during the period in which mediation is being arranged and engaged. If it does not produce resolution, the process continues at the stage it stopped.
B. If mediation is recommended and if the parties agree, the ED and EPC shall appoint a mediator and the process for mediation outlined in this section shall commence. When the respondent is a member of ACPE, the respondent's Regional Director is the third member of the appointing committee. When the respondent is a member only of APC, the APC Certification Chair is the third member of the appointing committee. If any of these are a party, the ACPE or APC President will fill their role.
C. Information heard in mediation cannot be used in any other part of the process unless the information is available and also obtained outside the mediation process.
D. If mediation is used and the complaint is resolved to the satisfaction of the parties, the resolution process is complete.
E. If mediation is unsuccessful, the complainant may request the process commence or recommence where it has been halted. The request must be made in writing to the Executive Director within seven days following the completion of the mediation attempt. Time lines for this process recommence with receipt of the request by the Executive Director.
F. Mediation shall commence and be completed within 60 days of the acceptance by both parties of the recommendation.
G. If the complaint is resolved, the mediator and all parties involved in the complaint sign a memorandum of understanding (MOU). The mediator forwards the original MOU to the ED and copies to all those who signed the MOU. The MOU shall be retained according to Section XIX.A.2.
H. Mediation fees will be paid, in most situations, by the respondent's association.
XII. THE INVESTIGATIVE PHASE
A. The investigator will conduct the investigation according to the processes set forth below. The investigator may work alone or with the assistance of up to three other people from the trained pool chosen at his or her discretion in consultation with the ED and EPC. The investigation may be conducted under the direct supervision of a legal or ethics consultant appointed for this purpose.
B. The Investigative Process
1. The investigator will contact the complainant and respondent as soon as reasonably possible after receiving appointment.
2. Each party will be asked to provide a list of people whom the investigator(s) might contact, a means of contact, and a brief statement of what the party expects the person to contribute to knowledge of the allegations.
3. Interviews will be held with each party before any witnesses are interviewed. Interviews can occur in person, by telephone or Internet voice connection.
4. If one party is interviewed in person, the other also will be.
5. The process seeks to be conversational rather than confrontational. Cooperation and courtesy are expected from the investigator(s) and the parties. Phone calls are to be returned and requested information produced within reasonable times.
6. The investigator and/or investigator's designees will function as information gathers. Information is assembled to allow the Hearing Panel to determine the facts on which a decision will be made as to whether a violation of the Code of Ethics occurred as alleged. The investigator may allege standards violated additional to those named in the complaint.
7. Neither party has a burden of proof. Rather, the investigator's task is to assemble information so that the Hearing Panel in its fact-finding can construct the proofs from the evidence it is given. The task of each party is to supply the investigator with accurate and timely evidence throughout the investigation and to state clearly how the evidence relates to the allegations.
8. The investigator(s) will spend as much time as they determine reasonably necessary to gather enough information for the Hearing Panel to make an informed decision. The investigators may contact as many people as they determine necessary -- these may be people suggested by the parties, by other sources, or originate with the investigator. Some people may be interviewed more than once.
9. The investigators are not required to inform either party of people with whom they have spoken or materials collected. However, any such information shared with one party should be shared with the other before the information is given to the EPC.
10. At the close of the investigation, the investigator will provide the EPC the dossier of the case: a copy of the original complaint form, any written response, a chronology of the investigation, a summary of each interview, relevant correspondence, and any exhibits submitted. The investigator will write a brief report to the EPC consisting of and elaborating the above items. The report may include the investigator's observations of affect and conditions not obvious in the collected data.
11. The case dossier will usually be sent by the EPC upon receipt to the complainant and respondent. At the EPC and investigator's discretion, some information may be withheld from the parties if to do otherwise might seriously jeopardize justice or the physical safety of a party or other witness. Any information sent to one party will be sent to the other.
XIII. FACT FINDING/ HEARING PANEL
A. The Hearing Panel is the designated fact-finding body. The EPC is the convener of the Hearing and keeps the official notes for the Minutes. The EPC may vote only to break a tie.
B. Four designated members of the Commission(s) conducting the Hearing, along with the EPC, must be present for a Hearing.
C. The investigator and association ethics or legal consultant may be present during the Hearing but will not participate in the vote on final actions taken.
D. Each party may submit to the EPC a written response to the materials it receives from the investigator. The response must be sent to the EPC within twenty-one calendar days from when the material is secure emailed or sent by other means as described in X.D. to the party. The Hearing Panel may solicit additional information from a party or any other source but will not accept information provided at the party's initiative after the twentyone day period unless the EPC determines exceptional circumstances.
E. New information obtained from a party (see item D) will be shared with the other party at least two weeks prior to the Hearing if time permits. The party receiving the information will have the opportunity to respond to it during the Hearing.
F. A Hearing Panel member may implicate additional violations of standards previously not cited based on new information or reasonable interpretation of existing information. The respondent will be given notice not less than two weeks prior to the Hearing.
G. The Hearing may occur in person or via telephone or Internet voice connection.
H. The Hearing will usually be held in within three months of the EPC's receipt of the Investigator's report and the responses to it from the parties.
I. If the Hearing is held in person, parties will receive at least one month's written notification of the meeting date, time and place. Each party will be invited to meet for up to an hour with the Commission. Attendance will be at the party's own expense. A party may appear even if the other elects not to appear.
J. If the Hearing is held electronically, parties will receive at minimum two-week's written notification. The EPC will invite the parties to participate for up to one half hour each. If one party declines, the other may still be heard. The two Associations bear the cost of the electronic Hearing.
K. The Hearing Panel meets or speaks first with the complainant if he or she elects to participate, then with the respondent.
L. At its discretion, the Hearing Panel may invite written information, electronic testimony, or appearance at the Hearing by non-party witnesses. These witnesses are not required to comply, may be responsible for their own expenses, and should receive at least two weeks' written notice of the Hearing.
M. The parties will not be present or heard at the same time before Hearing Panel and will not be present for any portion of the Hearing other than their own testimony.
N. Each party may be accompanied by a support person who will not be permitted to speak to the Hearing Panel but is free to consult with the party. The party will bear any costs associated with the support person.
O. The EPC will explain the Hearing process to each party and give each an opportunity to make a brief opening and closing statement. The Hearing Panel will devote the remainder of the time to asking questions to clarify the written materials, witness testimony or any other relevant issues it elects to address. The party may not offer new evidence at this time.
P. The Hearing Panel may question the party about discrepancies in the information and invite the party's explanation.
Q. The Hearing Panel may ask the party what he or she feels would be a reasonable outcome.
R. The Hearing Panel will make its decision based on a preponderance of the evidence. This is a qualitative not a quantitative standard of proof and means: "whether it is more likely than not that a violation occurred."
S. When reviewing cases of racial or sexual harassment, the Hearing Panel will apply the "reasonable person" standard. The evidence will be reviewed from the perspective of a reasonable person similarly situated to the complainant in terms of gender, race, sexual orientation, age, disability, religious preference, and national origin.
T. The Hearing Panel will issue its findings in writing within twenty-one calendar days of the Hearing. No new evidence may be submitted or solicited at a party's initiative after this review. The Hearing Panel at its discretion may seek clarification from any source.
U. After reviewing the evidence and deliberating, the Hearing Panel shall decide:
1. No violation of the Code occurred.
2. No violation of the Code occurred, but the Hearing Panel has concerns about the respondent's practice, conduct or perspective. These concerns may be set forth in a letter of information that may offer suggestions for further action on the part of the respondent to address the concerns. This letter is not considered a reportable disciplinary action for any forum. The letter of information may be shared at the Panel's discretion with the complainant.
3. A violation of the Code did occur and the Hearing Panel will consider sanctions.
V. When the Hearing Panel finds a violation did occur, it recommends one of the following sanctions:
1. Admonishment: The Hearing Panel finds that the member did violate the Code, acknowledges the violation, and that education regarding appropriate ethical conduct is proportionally sufficient to the violation and will insure future compliance with the Code of Ethics.
2. Reprimand: This is a serious rebuke of the member. It is based upon an assessment that the member has accepted full responsibility for the violation, articulates and understands the consequences of the violation; that the Reprimand is proportionally sufficient to the violation and is adequate to ensure future compliance with the Code of Ethics. It may include increased supervision or other stipulations for continued practice and membership as recommended by the Hearing Panel.
3. Probation: It is unclear whether the member fully understands, can articulate empathically and accept responsibility for the violation and its consequences. For a designated period of time, the member will follow specific instructions under the direction of the EPC or designee. Before the member is restored to full status, the member will meet all the terms imposed by the Hearing Panel and appear before it to demonstrate fulfillment of the terms to its satisfaction.
4. Suspension: The Hearing Panel finds that the member does not understand and/or accept responsibility nor appreciate the serious nature and/or consequences of the violation. Removal of Certification and/or membership is not disproportionate to the violation. Either or both are removed until a specifically identified problem or condition is addressed to the satisfaction of the Professional Ethics Commission in conjunction with the Certification Commission of the respondent's association. The member will meet with both Commissions or their designees to demonstrate compliance to their satisfaction before the suspension is recommended lifted.
Sanctions 2 – 4 may include the provision that for a specified period of time, the supervisor may not serve on regional or national committees, commissions, the Board and/or in other ACPE/APC leadership roles.
5. Recommendation for Withdrawal of Certification and/or Membership. In the Hearing Panel's judgment, the member demonstrates an essential lack of professional knowledge, procedures, character, or conduct consistent with membership in ACPE.
This recommendation may also represent the judgment of the Hearing Panel that the member's action constitutes a threat to the well being of the member, the Association and/or the public.
*The EPC informs the ACPE Executive Director, the President and President-elect of the recommended disposition of the case. If the respondent is a dual member with APC, the APC ED is also notified. These same people receive a copy of the deliberations, sent to the parties, that states the final disposition of the complaint. If sanctions result in suspension, withdrawal, removal from office, or enjoinment from practice, the parties shall be informed by the EPC within 24 hours of the decision.
W. The EPC may appoint a scribe, who may or may not be a Panel member, to take official minutes and a deliberations summary of the Final Case Review. These are available to the parties; personal notes of individual panel members are not and will be destroyed.
XIV. NOTIFICATION OF FINDINGS AND ACTION FROM HEARING & APPEALS PROCESSES
A. The EPC will notify the member and complainant of the action taken by the Commission(s). The notification to both parties of the complaint will be sent by secure email or by other means at the request of a party as described in X.D. and shall include notification that either may appeal the decision. The limited grounds for appeal will be stated. Both shall be instructed not to make the notification public until the appeal process is over.
B. No public notification shall be made until after the appeal process is completed.
C. When no appeal is filed, an appeal denied, or after the appeal process is completed, the following notifications shall occur:
1. A copy of the deliberations summary stating the final disposition shall be sent to the parties and the ACPE Executive Director, President and President-elect by the EPC and if the respondent is a member of APC, to the APC ED.
2. If sanctions result in suspension, withdrawal or removal from office or enjoinment from practice, the parties shall be notified within 24 hours of the decision. The ED shall inform the Board of Representatives and a report of the sanction shall be published in the next issue of the ACPE newsletter. The published notifications will be sent by the ED to the endorsing agent of the respondent and local entity of the original incident as well as any current employer.
3. When the respondent is a dual member with APC, APC notification practices will also be followed.
4. When a published sanction is fulfilled or lifted, a report shall be published in the next issue of the ACPE newsletter. Both published notifications shall be sent to the endorsing agent of the respondent and local entity of the original incident as well as any current employer.
XV. APPEAL PROCESS
A. Who may appeal: The respondent can appeal Findings and/or sanctions; the complainant may appeal only the findings. The appealing party is the Appellant.
B. Basis: An appeal must be based on one or both of these grounds: (a) the party was refused reasonable opportunity to obtain and/or present evidence to the Hearing Panel within these guidelines and that could have substantially altered the outcome, and/or (b) gross irregularity in the proceedings as established by these guidelines and that could have substantially altered the outcome. There are no other grounds.
C. Time Requirements: An appeal must be submitted in writing to the Executive Director (ED) managing the case by/on the 30 th day from Appellant's receipt of notice of the Hearing Panel decision (X.D.). The Appeal must state the grounds (B. above) and provide any written material presented to the Hearing Panel that s/he believes justifies the appeal.
D. Action: The ED has sole discretion to extend the 30-day deadline for extraordinary circumstances presented to the ED by the Appellant in writing prior to the 30 th day. If the extension is denied, the Appellant must meet the 30 day deadline or the decision of the Hearing Panel remains in full force and effect as the final action of the Association(s). The ED will forward the appeal and the written information used by the Hearing Panel in its determination to the Appeals Panel Chair.
E. Panel: The Ethics Commission Chair who did not chair the Hearing will chair the Appeal Panel. The original ED will continue as case manager. Three members of the Ethics Commission(s) who did not serve on the Hearing Panel or have previous association with the particular case will comprise the Appeals Panel appointed by the ED and Appeals Panel Chair.
F. Action: The Appeals Panel will give substantial deference to the factual findings of the Hearing Panel.
a. The Appellant was not refused reasonable opportunity to obtain and have evidence presented to the Hearing Panel; or
1. The Appeals Panel will deny the appeal if it determines that
b. The Appellant may have been refused reasonable opportunity to obtain and have evidence presented to the Hearing Panel but that the omitted evidence would not have substantially altered the decision of the Hearing Panel; or
d. There may have been gross irregularities in the proceedings before the Hearing Panel but that those did not substantially alter the decision of the Hearing Panel.
c. There were no gross irregularities in the proceedings before the Hearing Panel; or
If the appeal is denied, the decision of the Hearing Panel remains in full force and effect as the final action of the Association(s).
2. The Appeals Panel will accept the appeal if it determines that the decision of the Hearing Panel was substantially altered because
a. The Appellant was refused reasonable opportunity to obtain and/or present evidence to the Hearing Panel; and/or
b. Gross irregularities existed or occurred in the Hearing Panel proceedings.
3. If the appeal is accepted, the Appeals Panel may, in its sole discretion:
b. Send the case back to the Hearing Panel for further proceedings that do not include any gross irregularities; or
a. Send the case back to the Hearing Panel for further proceedings so that all evidence may be presented and considered; or
c. Determine that it can disregard any gross irregularities that occurred and that the evidence before the Hearing Panel is otherwise complete. In which case, the Appeal Panel may issue a final decision on the underlying complaint by:
(ii) Determining that a violation of some or all Standards alleged occurred and imposing such sanction as may be justified and that were available to the Hearing Panel. (Parties, Hearing Panel members, investigators and others may be contacted for information to assist the Appeals Panel in this determination.)
(i) Dismissing the complaint, or
G. Finality: A final decision by the Appeals Panel is not subject to any further appeal and constitutes final and binding action by the Association(s).
XVI. SANCTION REVIEW
A sanction will be reviewed at the end of its specified time. If the Commission or its designee determines a reasonable need to continue monitoring the member, it may recommend further sanctions or probation for an additional specified time to the appropriate people of each association. Such additional sanctions will not be imposed lightly, will reflect concern for the well being of the member, the public and/or the Association, and will be reviewed by the Commission within six months of imposition.
XVII. EMERGENCY SUSPENSION OF CREDENTIALS
When there is compelling evidence that a CPE student(s), CPE program, supervisor's colleagues or self is in immediate danger because of the functioning of any person authorized to supervise by ACPE, the Executive Director shall enjoin the person from supervisory practice for 72 hours.
During this period, the Executive Director of ACPE shall appoint an Emergency Review Committee of four additional persons, as follows: 1) the member's regional director or regional chair, 2) regional certification or regional accreditation chair, 3) ACPE President or President-elect, 4) Certification Commission or Professional Ethics Commission chair.
This panel shall investigate the concern. Should the panel determine by majority vote that a student(s), CPE program, supervisor's colleagues or self is endangered, it is authorized to suspend credentials for up to sixty days, pending a competency review by the regional certification committee and/or action by the PEC. The Executive Director shall notify the administrative person responsible for the ACPE program of any actions taken under this provision. In the event of the unavailability of the Executive Director, the ACPE President shall assume this role.
XVIII. RELEASE OF INFORMATION DURING A PROCESS
When asked about allegations against a member, only the following information shall be provided by the Association or those working for it on a particular case:
A. The existence of a complaint and whether or not an investigation is in progress. This includes cases under review, being appealed, and subject to review for Dismissal.
B. That a complaint was received, processed to completion, and the member has been disciplined for violations of the Code of Ethics if the sanctions are greater than Admonishment or Reprimand.
Other release of information is addressed in XIV.
XIX. RECORDS RETENTION
Official files on a case are maintained by the EPC until the case is concluded. The official file is then sent to the ACPE national office where it remains until notice of the respondent's death. Files are electronic with access limited as described below. Investigators and Hearing Panel members may take notes during the process for personal use only. Such notes and all other materials not part of the official dossier of the case will be destroyed by the time the case is concluded. These materials are not part of the official record and not available to parties or other forums.
A. Upon final action, the record of the process shall be sent by the EPC to the national office in care of the Executive Director or designee. The record shall contain:
1. the original complaint and response; if there was an investigation, the report and its appendices or attachment sent by the investigator to the Hearing Panel. If the case proceeded directly to mediation, a Hearing, or sanction, the materials relevant to engaging these steps as well as the original complaint or referral and responses to them.
2. if the complaint was settled through mediation, an original signed MOU;
3. if there was a Hearing, a copy of the Minutes/Deliberation Summary (findings and/or sanctions);
4. if an appeal was filed, a copy of the appeal letter, Minutes/Deliberations Summary from any Appeal action;
5. a copy of the letter(s) after Commission's final action to the person against whom action has been taken. The letter will state the final disposition of the complaint.
B. Files will be retained indefinitely or until notice of the respondent's death.
C. When complaints are filed against a member, the Executive Director may inform the EPC if there is a former complain(s). No further information will be give to the EPC.
D. The Investigators, if any, may consult with the Executive Director about the contents of a former complaint. If, in the professional judgment of the ED and the Investigator(s), there are people or events named in the files that would shed relevance as to possible pattern and practice contrary to ACPE Standards implicated in the current investigation, the investigator(s) may see that portion of the file.
E. Except as provided in XIX. C. and D., no one is to have access to the contents of these files without a Court order or without the written consent of the respondent's Association Ethics Chair, association President and association Executive Director (in consultation with counsel) for extraordinary circumstances.
APPENDIX 1
ACPE INTER COMMISSION/ENTITY REFERRAL
Referring Commission/Entity (RFCE):
RFCE Chair:
Receiving Commission/Entity (RCCE):
RCCE Chair:
Referral Date:
1. List Standard(s) about which RFCE is making referral. ____________________________
2. Date RFCE discovered above Standard(s) concern(s). ________________________________
3. Date(s) of event(s) giving rise to above Standard(s) concern(s). _________________________
4. List Standards RFCE is/has processed. ____________________________________________
5. Does the ACPE member or entity named in this referral know that it is being made? ________
6. State what phase the RFCE process is in with this matter.
7. State what the RFCE believes the RCCE can do through its process that the RFCE has not or cannot do.
8. List documents or other materials the RFCE has that could assist the RCCE.
9. Provide contact information for person authorized to send above items to RCCE upon its request.
10. Provide any additional information of which RCCE should be aware when reviewing this referral.
11. RCCE REMINDER: Retain this form and use the reverse to report back to the RFCE the steps taken regarding this referral.
APPENDIX 1 Cont'd
RCCE REPORT TO RFCE
1. The RCCE met according to its procedures and considered this referral on ___________date.
2. The decision was made to _____________________________________________________ ____________________________________________________________________________
3. RCCE follow-up is complete ______________________ date_________________________
4. Information from the follow-up available to the RFCE upon their request is as follows:
5. For further information, please contact:
6. Other observations:
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Name: Sophie Trusty
Year of Graduation: 2011
Current School: University of New Hampshire
Major: Dual Major of Sustainable Agriculture and EcoGastronomy
When I was in eighth grade I heard about the agriscience program being offered at Westhill High School. I had loved animals and plants from a very young age and decided that I would apply for the program and see how it went. My freshman year of high school was a difficult period in my life, and I struggled with all my classes, including agriscience. By the end of the year I had started to regain some interest in school, and I applied for a leadership position within the FFA. I did not receive this position, due to my rough start within the program, but I did find some resolve and passion to be involved the next year. My sophomore year I worked hard in my classes, and proved myself to be a positive influence within the ag program. I started to take initiative in the program and I began attending the plant sales, dog washes, and scrapbook meetings. By the end of the year I had not only gained a position on the officer team of the FFA as Parliamentarian, I had been awarded the FFA Leadership Award at the spring banquet. I realized how much support I had within the program, from my fellow officers, my classmates, and my teachers. Everyone there wanted me to succeed, and opportunities for involvement were everywhere.
My junior year was where everything began to come together. I had found support and drive, and now I got to pick the classes that truly interested me within the program. That year I discovered my passion for plant science. Coupled with my intense drive to do well in the program and to keep excelling in school, I felt I had found my true purpose for the first time in my life. After seeing how much interest I had with working in the greenhouse, Dr. Lisy worked with me one on one, teaching me aspects of plant production and greenhouse maintenance. He appointed me Greenhouse Manager for my senior year, something that I was extremely proud of. I was also able to advance to being Secretary of the FFA and was awarded the FFA Leadership Award again. My senior year I worked hard individually within the greenhouse and as a team with the Vice President and the President. Together we were able to achieve a lot within the program and hopefully helped show other students that they can help make changes too.
I decided to apply to University of New Hampshire as my top school, with a major in Sustainable Agriculture and Food Systems. Had I not been in the ag program I am certain that I would not have discovered what I wanted to do with my life, let alone been able to achieve it. My senior year I also took what I would describe as the most challenging and rewarding class of my high school career, Early College Experience Biology with Dr. Lisy. No other class that I took in high school prepared me more for college. This is one of the most beautiful things about the ag program, that there are classes which prepare you for real life, hands on work, and that there are classes which test you time management and studying techniques like real college classes do.
So far in my first year of college I have been fortunate enough not to have had a class as difficult as that Biology class was, but I have utilized the same studying skills that I developed because of it. Because of the classes that I took in the ag program, I feel that I have had a head start compared to the other students within my major. I often find myself thinking about how I already learned this concept or term in a class with Dr. Lisy. Finally, the ag program helped me to get three different scholarships for college. Scholarships eased some of the financial burden of college as well as serving as a great addition to my already lengthy resume, also due exclusively to the ag program. Without the ag program and all its incredible teachers, faculty, and diverse array of students I am positive that I would not be in college right now, especially at a college I love, pursuing a major I feel passionate about, and holding a 3.8 GPA my freshman year.
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Major Grant Fund Sources for Capital Projects
ODOT – Enhance
Funding is for projects, investment and programs that enhance, expand, or improve the state's multimodal transportation system. Typically, projects make key connections between modes or facilities, improve access to economic opportunities, and/or address identified bottlenecks. This round Enhance funds are very limited and primarily restricted to trails, bike and ped needs.
- Portland estimate $4 or $5 M this round for projects for 2019 – 2021. Minimum required match is 10.27%
ODOT –HSIP/ARTS (part of Fix-IT)
HSIP/ARTS Systemic and Hot Spots are two funds which are focused exclusively on safety improvements. Hot Spots are chosen by a data driven process to implement spot improvements in areas with crashes. There is no application process for Hot Spot projects. Systemic projects are also chosen based on data, but through an application process. There is a list of proven low-cost safety measures which can be implemented systemically (in multiple locations) to address problem areas in the following three categories: 1) Roadway Departures, 2) Intersections, 3) Pedestrian/Bicycle.
- Approx. $8m for Portland HSIP/ARTS for 2017-2021. Match is 7.78% for most projects.
Connect Oregon
Connect Oregon is lottery bond backed initiative to invest in air, rail, marine, transit and bike/ped infastructure. This funding is dedicated to non-highway funding and projects that are eligible for gastax are not eligible. $42M is available statewide for this round.
- Portland share would be approx. $4M or $5M but cities don't have specific shares. Match is 30%
Regional Flex Funds: 2019-2021
The Regional Flex Funds are the primary source for biking, walking and transit projects in the region. Transit bonds are paid from Regional Flex Funds and Trimet is expected to ask for additional bonding to support high capacity transit projects, possibly including Powell-Division BRT and Southwest Corridor. Regional Capital Project Funding will probably be somewhere between $40 and $49 Million. Last round City of Portland received about $14 M.
- Portland share expected to be approximately $15M in 2019 - 2021. Match is $10.27%
Tiger makes transformative surface transportation investments that dramatically improve the status quo and are regionally or nationally significant. Grants are between $20 million and $200 million and are extremely competitive. Grants focus on improving ladders of opportunity, increasing connectivity to education, employment or other opportunities, contributing to community revitalization, particularly for disadvantaged groups.
- No Portland share, we should have several projects in pipeline for competitive applications and hope to receive approximately $20M over the next few years.
TIGER
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Stretch Class
Tuesdays and Thursdays 10 am - 11 am First class is free and then it's just $2 per class
Yoga Class
Fridays 11 am - 12 pm First class is free and then it's $3 for residents and $3.25 for non-residents
Instructor: Jan Guinn
Carrollton Senior Center 1720 Keller Springs 972-466-4850
Classes focus on improving strength, flexibility and balance, along with increasing range of motion. They are specially designed to meet the needs of older adults.
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Albert St
Lansdowne St (City Bypass)
Nicholson St
Spring St
Victoria Parade
St Patrick’s
Cathederal
P
St Andrews Pl
Cathedral Place
Parliament Pl
Park
Hyatt
Macarthur St
Main Hospital
(Gisborne St)
Car Park
Entry
Parliament
House
Fitzroy Gardens
Treasury Gardens
Treasury Place
Wellington Parade
Eye and Ear
on the Park
Melways Ref: Map 44
Enter from Lansdowne Street
between St Andrews Place
and Cathedral Place
CAR PARKING AT
EYE AND EAR ON THE PARK
P
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2017-03-27T10:34:51Z
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KHOOBSURAT LIMITED
L23209WB1982PLC034793
Regd. Office : Room No. 40, 5th Floor, Martin Burn House, 1 R.N. Mukherjee Road,
Kolkata-700 001, Tel : +91 33 4061 7068.
Email : [email protected]; Website : www.khoobsuratltd.com
NOTICE OF POSTAL BALLOT
(Pursuant to Section 110 of the Companies Act, 2013)
Dear Members,
NOTICE is hereby given that pursuant to Section 110 and other applicable provisions, if any, of the Companies Act, 2013, (the "Act") read with Rule 22 of the Companies (Management and Administration) Rules, 2014, ("Rules") including any statutory modification or re-enactment thereof for the time being in force, the Resolutions appended below is proposed to be passed by way of Postal Ballot which includes voting by electronic means.
The proposed resolutions and explanatory statement pertaining to the said resolutions setting out all material facts' concerning the resolutions and the reasons thereto is annexed hereto for your consideration. The Postal Ballot Form for voting by you as Member of the Company is also enclosed. The Company has appointed Mr. Alok Kr. Das, Practicing Chartered Accountant (Membership No. 055737), as Scrutinizer for conducting this Postal Ballot process in a fair and transparent manner.
The Members are requested to carefully read the instructions printed on the Postal Ballot Form and return the Form duly completed in all respects in the enclosed self-addressed postage pre-paid envelope, so as to reach the Scrutinizer at the Registered Office of the Company on or before the close of working hours (i.e. 5.00 P.M.) on 27 th November, 2015.
In compliance with Clause 35B of the Listing Agreement and provisions of Section 110 of the Act read with the Rules, the Company is pleased to provide Electronic Voting ("e-voting") facility as an alternate, to all its Members, to enable them to cast their votes electronically instead of dispatching the physical Postal Ballot Form by post. The Company has engaged the services of Central Depository Services (India) Limited to provide e-voting facility to its Members. It may be noted that e-voting is optional. In case a Member has voted through e-voting facility, he/she is not required to send the physical Postal Ballot Form and vice versa. In case a Member votes through e-voting facility as well as sends his/her vote through physical vote, the vote cast through e- voting shall only be considered and the voting through physical Postal Ballot shall not be considered by the Scrutinizer.
The e-voting facility is available at the link www.evotingindia.com. Please refer the instructions for e-voting given after the Proposed Resolutions for the process and manner in which e-voting is to be carried out.
The Scrutinizer will submit his report to the Managing Director of the Company after the completion of the scrutiny of the postal ballots (including e-voting). The Managing Director of the Company and in his absence the Company Secretary will announce the results post at the Board Meeting scheduled to be held at 05.00 P.M. on 30 th November, 2015 at the Registered Office of the Company. The said results would be displayed at the notice board of the Registered Office of the Company, intimated to the BSE Limited (BSE), MCX Stock Exchange Limited and Calcutta Stock Exchange Association Ltd. (CSE) where the Company's shares are listed, will be published in the newspapers and displayed on the Company's website viz. www.khoobsuratltd.com
By Order of the Board
Khoobsurat Limited S/dGoutam Bose DIN : 02504803) Managing Director
Place : Kolkata
Date : 19 th October 2015
PROPOSED RESOLUTIONS:
Special Business
1. SUB-DIVISION IN FACE VALUE OF EQUITY SHARES
To consider and, if thought fit, to pass, with or without modification(s), the following resolution as an Ordinary Resolution:
"RESOLVED THAT pursuant to the provisions of Section 61, 64 and other applicable provisions, if any, of the Companies Act, 2013, (including any statutory modification or re-enactment thereof for the time being in force) and in accordance with the provisions of the Memorandum & Articles of Association of the Company and subject to such other approval(s), consent(s), permission(s) and sanctions as may be necessary from the concerned Statutory Authority(ies), and subject to such conditions as may be agreed to by the Board of Directors of the Company (hereinafter referred to as "the Board", which term shall also include any Committee thereof), consent of Members be and is hereby accorded to sub-divide each Equity Shares of the Company having face value of ` 10/- (` Ten) into 10 Equity Shares of face value of ` 1/- (` One) each fully paid-up and consequently, the Authorized Share Capital of the Company of ` 15,00,00,000 (` Fifteen Crore) would comprise of 15,00,00,000 Equity Shares of face value of ` 1/- (` One) each with effect from the "Record Date" to be determined by the Board for this purpose."
"RESOLVED FURTHER THAT pursuant to the sub-division of Equity Shares of the Company, each Equity Share of the face value of ` 10/- (` Ten) as existing on Record Date shall stand sub-divided into 10 (Ten) Equity Shares of face value of ` 1/- (` One) each fully paid-up, with effect from the Record Date."
"RESOLVED FURTHER THAT on sub-division, the 10 (Ten) Equity Shares of face value of ` 1/- (` One) each be issued in lieu of one Equity Shares of the face value of ` 10/- (` Ten) each, subject to the terms of Memorandum and Articles of Association of the Company and shall rank pari-passu in all respects with and carry the same rights as the existing fully paid-up Equity Shares of ` 10/- (` Ten) each of the Company and shall be entitled to Dividend(s) to be declared after the sub-division in face value of Equity Shares."
"RESOLVED FURTHER THAT upon Sub-division of Equity Shares of the Company as aforesaid, the existing Share Certificate(s) in relation to the existing Equity Shares of the face value of ` 10/- (` Ten) each held in physical form shall be deemed to have been automatically cancelled and be of no effect on and from the Record Date and that no letter of allotment shall be issued to the allottees of the new Equity Shares of face value of ` 1/- (` One) each on the Sub-division and the Company may, without requiring the surrender of existing Share Certificate(s), directly issue and dispatch the new share certificate(s) of the Company, in lieu of such existing share certificate(s), within the period prescribed or that may be prescribed in this regard, from time to time and in the case of Shares held in dematerialized form, the number of sub-divided Equity Shares be credited to the respective beneficiary accounts of the Shareholders with the Depository Participants, in lieu of the existing credits representing the Equity Shares before sub-division."
"RESOLVED FURTHER THAT the Board be and is hereby authorized to fix a Record Date and to take such steps as may be necessary for obtaining approvals, statutory, contractual or otherwise, in relation to the above and to settle all matters arising out of and incidental thereto, and to execute all deeds, applications, documents and writings that may be required, on behalf of the Company and generally to do all such acts, deeds, things and matters, and to give, from time to time, such directions as may be necessary, proper and expedient or incidental for the purpose of giving effect of this resolution."
"RESOLVED FURTHER THAT the Board be and is hereby authorized to delegate all or any of its powers to any of Committee thereof as it may deem appropriate in this regard."
2. ALTERATION IN CAPITAL CLAUSE OF MEMORANDUM & ARTICLES OF ASSOCIATION
To consider and if thought fit to pass with or without modifications the following resolution as an ordinary resolution :
"RESOLVED THAT pursuant to the provisions contained in Section 13, 61 and other applicable provisions, if any, of the Companies Act, 2013 (including any statutory modifications or re-enactment thereof for the time being in force) and subject to the approvals, consents, permission and sanctioned as may be necessary from the appropriate authorities or bodies, the existing Clause V of the Memorandum of Association of the Company be and here by substituted as follows:
"The Authorized Share Capital of the Company is ` 15,00,00,000/-(` Fifteen Crore) Only divided into 15,00,00,000 (Fifteen Crore) Equity shares of ` 1/- (` One) each with power to increase and reduce the Capital, to divide the share in the Capital for the time being into several classes and respectively such preferential, or Special rights thereto attach privileges and conditions as may determined by or in accordance with the regulations of the Companies Act, 2013 and to vary, modify or abrogate such rights, privileges or conditions in such manner as may for the time being be provided by the regulations of the Company."
"RESOLVED FURTHER THAT the Board or a Committee thereof be and is hereby authorized to do all such acts, deeds, things and matters as may be considered necessary, desirable and expedient for giving effect to this resolution and/or otherwise considered by them in the best interest of the Company."
NOTES
1. Explanatory Statement and reasons for the proposed Resolution pursuant to Section 102(1) read with Section 110 of the Companies Act, 2013 are given hereunder.
2. The Postal Ballot Notice is being sent to all the Members, whose names appear in the Register of Members/list of Beneficial Owners, received from National Securities Depository Limited (NSDL)/ Central Depository Services (India) Limited (CDSL) as on 16 th October, 2015.
3. The Board of Directors of the Company has appointed Mr. Alok Kr. Das, Practicing Chartered Accountant (Membership No. 055737), as scrutinizer for conducting the Postal Ballot process in a fair and transparent manner.
4. In terms of Clause 35B of the Listing Agreement, in order to enable its members, who do not have access to e-voting facility, to send their assent or dissent in writing in respect of the resolutions as set out in this Notice, a Proxy cum Ballot Form is attached. Members desiring to exercise vote by Ballot are requested to carefully read the instructions printed in the form, to complete the Ballot Form with assent (for) or dissent (against) and send it to Mr. Alok Kr. Das, Scrutinizer, C/o ABS Consultants Private Limited, Unit: Khoobsurat Limited, 99, Stephen House, 6th Floor, 4, B.B.D. Bag (East), Kolkata-700 001, Tel. No: +91 33-2220 1043, Fax No : +91 33- 2243 0153, E-mail : [email protected] so as to reach him on or before November 27, 2015 by 5.00 p.m. Any Ballot Form received after the said date shall be treated as if the reply from the Members has not been received.
5. The Resolution will be taken as passed effectively on the date of announcement of the result by the Managing Director and in his absence by the Company Secretary, if the result of the Postal Ballots indicates that the requisite majority of the Members had assented to the Resolution. The result of the Postal Ballot will be declared at the Board Meeting scheduled to be held at 5.00 P.M. on 30 th November, 2015 at the Registered Office of the Company. After declaration, the result of the Postal Ballot shall also be posted on the Company's website www.khoobsuratltd.com besides communicating the same to the BSE Limited, MCX Stock Exchange Ltd. and Calcutta Stock Exchange Association Limited where the shares of the Company are listed.
6. A copy of the document (more specifically Memorandum of Association and Articles of Association of the Company along with the proposed drafts amendments) referred to in the accompanying Explanatory Statement is open for inspection at the Registered Office of the Company between 10.00 a.m. to 12.00 noon on any working day excluding Saturday and Sunday till the last date for receiving Postal Ballot Forms by the Scrutinizer i.e. 27 th November, 2015.
7. The Postal Ballot Form and the prepaid self-addressed business reply envelope are enclosed for use of Members. Members are requested to carefully read the instructions printed on the backside of the Postal Ballot Form before exercising their vote.
8. Voting rights shall be reckoned in proportion to the paid-up Equity Shares registered in the name of the Member as on 16 th October 2015.
EXPLANATORY STATEMENT IN RESPECT OF THE SPECIAL BUSINESS PURSUANT TO SECTION 102 OF THE COMPANIES ACT 2013
Item No. 1 & 2
The Equity Shares of the Company are listed on of BSE Ltd. (BSE), MCX Stock Exchange Ltd. (MCX-SX) and Calcutta Stock Exchange Association Ltd. (CSE). With a view to broad base the investor base by encouraging the participation of the small investors and also to increase the liquidity of Equity Shares of the Company, the Board of Directors at its meeting held on 19 th October 2015, have approved the sub-division of each Equity Share of face value of ` 10/- each of the Company into 10 Equity Shares of face value of ` 1/- each, subject to the approval of Members. The Company is seeking approval of Members by Postal Ballot for sub-division of each of the existing Equity Shares of the Company.
Accordingly, each issued Equity Share of nominal value of ` 10/- (` Ten) of the Company existing on the Record Date shall stand sub-divide into 10 (Ten) Equity Shares of nominal value of ` 1/- (` One) each.
The Record Date for the aforesaid sub-division of the Equity Shares will be fixed by the Board of Directors of the Company of committee thereof after the approval of the Members of the Company is obtained, pursuant to passing the resolution by Postal Ballot.
At present, the Authorized Share Capital of the Company is ` 15,00,00,000/- (` Fifteen Crore) only and the nominal face value of the equity shares of the Company is ` 10/- per Equity Share. Equity Shares of the Company are listed on BSE Ltd. (BSE), MCX Stock Exchange Ltd. (MCX-SX) and Calcutta Stock Exchange Association Ltd. (CSE).
The Resolutions for altering the Capital Clauses in the Memorandum and Articles of Association of the Company as set out at Item No. 2 of the Notice is to reflect the corresponding changes in the Capital Clauses of the Memorandum & Articles of Association of the Company, Consequent to splitting of the existing one Equity Share ` 10/-each into ten Equity Shares ` 1/- each pursuant to the sub-division as proposed therein.
The Board is of the opinion that the aforesaid sub-division of the nominal value of Equity Shares is in the best interest of the members and hence recommends passing of the resolutions at items Nos. 1 & 2.
The Directors of the Company, the Chief Financial Officer, the Company Secretary, being the key managerial person of the Company and their relatives, may be deemed to be interested in this Resolution to the extent of their respective shareholding, if any, in the Company in the same proportion as that of every other member of the Company who holds Equity Shares, if any.
By Order of the Board
Khoobsurat Limited
S/d-
Goutam Bose
DIN : 02504803)
Managing Director
Place : Kolkata
Date : 19th October 2015
KHOOBSURAT LIMITED
L23209WB1982PLC034793
Regd. Office : Room No. 40, 5th Floor, Martin Burn House, 1 R.N. Mukherjee Road,
Kolkata-700 001, Tel : +91 33 4061 7068.
Email : [email protected]; Website : www.khoobsuratltd.com
POSTAL BALLOT FORM
Sr. No. Particulars
Details of Member(s)
1. Name & Registered Address of the first named Member
(in Block letters)
2. Name of Joint Member(s), if any
3.
Registered Folio / DP ID / Client ID
4.
No. of Shares held
I/We exercise my/our vote in respect of the Ordinary Resolutions to be passed through Postal Ballot for businesses stated in Notice of the Postal Ballot dated 19 th October 2015 of the Company by sending my/our assent or dissent to the said Ordinary Resolutions by placing the tick mark at the appropriate box below:
| 1. | Ordinary Resolution for sub- division in face value of Equity Shares from ` 10/- to ` 1/- |
|---|---|
| 2 | Ordinary Resolution for alteration in Capital Clause of Memorandum of Association |
Place :
Date :
________________________________
(Signature of the Member)
INSTRUCTIONS FOR PHYSICAL VOTING
1. A Member(s) desirous to exercise his/her/their vote by Postal Ballot may complete this Postal Ballot Form and send it to the Scrutinizer in the SelfAddressed Postage prepaid Business Reply Envelop. However envelope containing Postal Ballot Form, if sent by courier at the expenses of the Member(s) will also be accepted.
2. This form should be duly completed and signed by the Member. In case of joint holding, this form should be completed and signed (as per the specimen signature registered with the Company / furnished by NSDL / CDSL to the Company, in respect of shares held in the physical form or Demat form respectively) by the first named Member and in his/her absence, by the next named joint Member.
3.
Unsigned / Incomplete Postal Ballot Form will be rejected.
4. Duly completed Postal Ballot Form should reach the Scrutinizer on or before 5.00 PM on November 27, 2015. Postal Ballot Form received after this date will be considered as invalid.
5. Voting rights shall be reckoned on the paid up value of shares registered in the name of Members as on the cut-off date i.e. 16 th
October 2015.
6. A Member may request for a Duplicate Postal Ballot Form, if so required. The Postal Ballot Form can also be downloaded from the Company website www.khoobsuratltd.com. However the duly filled in duplicate Postal Ballot Form should reach the Scrutinizer not later than 5.00 PM on November 27, 2015.
7. The exercise of vote through Postal Ballot is not permitted through a Proxy.
8. The Scrutinizer's decision on the validity of the vote shall be final and binding.
9. Members are requested not to send any other paper / documents along with the Postal Ballot Form. If sent, the said paper(s) / documents will be acted upon.
10. Members are requested to fill the Postal Ballot Form in indelible ink (and avoid filling it by erasable writing medium/s like pencil.
11. There will be one Postal Ballot Form for every Folio / Client ID, irrespective of the number of joint holders.
INSTRUCTIONS FOR E-VOTING
In compliance with the provisions of Section 108 of the Companies Act, 2013 and Rule 20 of the Companies (Management and Administration) Rules, 2014, the Company is pleased to provide to the members facility to exercise their votes by electronic means and the business may be transacted through e-voting as per details below:-
a) Date and time of commencement of voting through electronic means: Wednesday, October 28, 2015 at 9.00 a. m.
b) Date and time of end of voting through electronic means beyond which voting will not be allowed : Friday, November 27, 2015 at 5.00 p. m.
c) During this period shareholders' of the Company, holding shares either in physical form or in dematerialized form, as on the cut-off date October 16, 2015, may cast their vote electronically irrespective of mode of receipt of notice by the shareholder. The e-voting module shall be disabled by CDSL for voting thereafter.
d) Details of Website: www.evotingindia.com
e) Details of Scrutinizer: CA Alok Kr. Das, Practicing Chartered Accountant (Membership No. 055737), 20 Chanchal Sarani, P. O. Santoshpur, Kolkata – 700 075. E-mail: [email protected].
f) Once the vote on a resolution is cast by the shareholder, the shareholder shall not be allowed to change/ modify the vote subsequently.
The instructions for Members for e-voting are as under:
Applicable in all cases whether NOTICE is received by e-mail or in physical form:
i Log on to the e-voting website www.evotingindia.com during the voting period
ii Click on "Shareholders" tab
iii Now, select Electronic Voting Sequence No. as mentioned in the Attendance Slip along with "KHOOBSURAT LIMITED" from the drop down menu and click on "SUBMIT".
iv Now Enter your User ID
a. For CDSL: 16 digits beneficiary ID,
b. For NSDL: 8 Character DP ID followed by 8 Digits Client ID,
c. Members holding shares in Physical Form should enter Folio Number registered with the Company.
v Next enter the Image Verification as displayed and Click on Login.
vi If you are holding shares in demat form and had logged on to www.evotingindia.com and voted on an earlier voting of any company, then your existing password is to be used.
vii If you are a first time user, please use the e-Voting particular provided in the Attendance Slip and fill up the same in the appropriate boxes.
viii After entering these details appropriately, click on "SUBMIT" tab.
ix Members holding shares in physical form will then reach directly the Company selection screen. However, members holding shares in demat form will now reach 'Password Creation' menu wherein they are required to mandatorily enter their login password in the new password field.
x Kindly note that this password is to be also used by the demat holders for voting for resolutions of any other company on which they are eligible to vote, provided that company opts for e-voting through CDSL platform. It is strongly recommended not to share your password with any other person and take utmost care to keep your password confidential.
xi
For Members holding shares in physical form, the details can be used only for e-voting on the resolutions contained in this Notice.
xii Click on the EVSN for KHOOBSURAT LIMITED on which you choose to vote.
xiii
On the voting page, you will see "RESOLUTION DESCRIPTION" and against the same the option "YES/NO" for voting. Select the option YES or NO
as desired. The option YES implies that you assent to the Resolution and option NO implies that you dissent to the Resolution.
xiv Click on the "RESOLUTIONS FILE LINK" if you wish to view the entire Resolution details.
xv After selecting the resolution you have decided to vote on, click on "SUBMIT". A confirmation box will be displayed. If you wish to confirm your vote, click on "OK", else to change your vote, click on "CANCEL" and accordingly modify your vote.
xvi Once you "CONFIRM" your vote on the resolution, you will not be allowed to modify your vote.
xvii You can also take out print of the voting done by you by clicking on "Click here to print" option on the Voting page.
xviii If Demat account holder has forgotten the changed password then enter the User ID and the image verification code and click on Forgot Password & enter the details as prompted by the system.
- Institutional shareholders (i.e. other than Individuals, HUF, NRI etc.) are required to log on to https://www.evotingindia.com and register themselves as Corporate.
- They should submit a scanned copy of the Registration Form bearing the stamp and sign of the entity to [email protected].
- After receiving the login details they have to create a user who would be able to link the account(s) which they wish to vote on.
- The list of accounts should be mailed to helpdesk. [email protected] and on approval of the accounts they would be able to cast their vote.
- They should upload a scanned copy of the Board Resolution and Power of Attorney (POA) which they have issued in favour of the Custodian, if any, in PDF format in the system for the scrutinizer to verify the same.
xix In case you have any queries or issues regarding e-voting, you may refer the Frequently Asked Questions ("FAQs") and e-voting manual available at www.evotingindia.com under help section or write an email to [email protected]. You can also contact the helpdesk on the toll free number: 1800-200-5533.
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For Immediate Release February 11, 2016
Contact Christine McGowan 802-505-0508, [email protected]
Malheur Occupation Ends
Restoration Can Begin; Conservation Must Continue
News broke early this morning that the four remaining occupants of Malheur National Wildlife Refuge agreed to surrender to authorities at 8 a.m. PST. About three hours later, the occupiers were taken into custody.
The following is a statement by David Houghton, president of the National Wildlife Refuge Association:
"We're relieved to finally see the occupation of Malheur National Wildlife Refuge come to an end.
"The FBI, local law enforcement and the U.S. Fish and Wildlife Service should be commended for a peaceful resolution, despite threats of violence from the four remaining occupants.
"These criminals will now be prosecuted to the fullest extent of the law, as they should.
"The work to restore Malheur can now begin, but it will not be quick or easy. With threats of booby-traps and videotaped evidence of damage to roads, fences and other refuge property, the effort to assess and repair the damages will be extensive.
"Today, as we express our relief, we should also reflect on this episode, and consider how we got here, and ways we can come together in every community to ensure it doesn't happen again.
"America's national wildlife refuges are public lands we all cherish, whether for their incredible and diverse wildlife habitats, their recreational opportunities or their ability to inspire children and adults alike to love and conserve our shared heritage as Americans.
"Let's not let the criminal activities of extremists distract the rest of us from the important collaborative conservation work that continues throughout this nation, with America's national wildlife refuges playing a leading role in conserving our best landscapes for the future."
###
The mission of the National Wildlife Refuge Association is to conserve America's wildlife heritage for future generations through strategic programs that protect, enhance, and expand the National Wildlife Refuge System and the landscapes beyond its boundaries.
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Socioeconomics of Urban Travel: Evidence from the 2001 NHTS
The 2001 National Household Travel Survey (NHTS) confirms most of the same travel trends and variations among socioeconomic groups documented by its predecessors, the Nationwide Personal Transportation Surveys (NPTS) of 1969, 1977, 1983, 1990, and 1995. The private car continues to dominate urban travel among every segment of the American population, including the poor, minorities, and the elderly. By comparison, public transport accounts for less than 2% of all urban travel. Even the lowest-income households make only 5% of their trips by transit. The most important difference in the 2001 NHTS is the doubling in modal share of walk trips in cities, due to a much improved survey technique that captured previously unreported walks.
While the private car dominates travel, there are important variations in auto ownership and travel behavior by income, race, ethnicity, sex, and age. Overall, the poor, racial and ethnic minorities, and the elderly have much lower mobility rates than the general population. Moreover, the poor, blacks, and Hispanics are far more likely to use transit than other groups. Indeed, minorities and low-income households account for 63% of the nation's transit riders. Different socioeconomic groups also have different rates of carpooling, taxi use, bicycling, and walking. In addition, they travel different distances and at different times of day. Many of these socioeconomic variations in travel behavior have important consequences for public policy.
by John Pucher and John L. Renne
This is the fourth in a series of articles for Transportation Quarterly analyzing urban travel trends and differences in travel behavior among a range of socioeconomic groups. 1 We examine the 2001 National Household Travel Survey (NHTS), which was released in January 2003. Our focus is on interrelated variations in motor vehicle ownership, mobility levels, means of transportation (travel mode), trip distance, time of day of travel, and purpose of travel as these dimensions of travel behavior vary by income group, ethnic and racial group, sex, and age. We compare the results of the 2001 NHTS with those of its predecessor, the Nationwide Personal Transportation
Survey (NPTS), in 1969, 1977, 1983, 1990, and 1995.
The most salient trend in American travel behavior over the past four decades has been increased reliance on the private car for urban travel, with corresponding declines in public transit and walking. The journey-towork portion of the US Census, for example, reports that the percentage of work trips made by public transit fell from 12.6% in 1960 to only 4.7% in 2000 (see Table 1). The share of walk trips fell from 10.3% to only 2.9%. Conversely, the private car's share of work trips rose from 66.9% to 87.9%. 2 Similarly, the series of NPTS and NHTS surveys, which also include nonwork
trips, show that Americans have been relying increasingly on the car for all their travel purposes, not just for the journey-to-work (see Table 2). Thus, the auto's share of daily, local travel rose from 81.8% of trips in 1969 to 86.4% in 2001, while public transit's share fell from 3.2% to 1.6% over the same period. 3
ownership in the world, about 50% higher than in most Western European countries. 6
Corresponding to that increased reliance on the automobile, motor vehicle ownership is now almost universal in the United States, with 91.7% of American households owning at least one motor vehicle in 2001, and 58.5% of households owning two or more vehicles. 4 Indeed, the total number of motor vehicles per household rose from 1.2 in 1969 to 1.9 in 2001, and the number of motor vehicles per licensed driver rose from 0.7 to 1.1. 5 Yet further confirming this growing auto availability, the total number of autos and light trucks per 1,000 persons rose from 340 in 1960 to 766 in 2001, giving the USA by far the highest rate of personal vehicle
While these aggregate statistics confirm the extreme auto dependence of American cities, they mask important variations by region of the country, by city size, and among socioeconomic groups. There are important differences in travel behavior by income, age, sex, race, and ethnicity. Motor vehicle ownership, mobility rates, means of transport, trip distance, trip purpose, and time of day of travel vary from one group to another. Such differences can be crucial in designing equitable transport policies at all government levels.
For example, peak-hour congestion pricing on roadways and off-peak discounts for transit should take into account the income differences of travelers by time of day. Similarly, the regressivity of financing transportation through gasoline taxation, roadway tolls, transit fares, and user charges of any sort depends on the income distribution of
Table 1: Trends in Modal Split for the Journey-to-Work (1960 - 2000) (percentage of work trips by means of transportation)
| Mode of Transportation | | | | |
|---|---|---|---|---|
| | 1960 | 1970 | 1980 | 1990 |
| Total Auto | 66.9 | 77.7 | 84.1 | 86.5 |
| SOV | na | na | 64.4 | 73.2 |
| HOV | na | na | 19.7 | 13.4 |
| Public Transit | 12.6 | 8.9 | 6.4 | 5.3 |
| Walk | 10.3 | 7.4 | 5.6 | 3.9 |
| Bicycle | na | na | 0.5 | 0.4 |
| Work at Home | 7.5 | 3.5 | 2.3 | 3 |
| Other | 2.6 | 2.5 | 1.1 | 0.9 |
Source: US Decennial Census, Supplemental Survey: Journey-to-Work, various census years, 1960 to 2000, as tabulated by Alan Pisarski and reported in A. Pisarski, Commuting in America III. Washington, DC: Eno Transportation Foundation, forthcoming in 2003.
Note: Only the 1960 Census work trip survey included a category called "not reported," which accounted for 4.3% of all 1960 responses. To make the 1960 distributions comparable with those of later years, which do not include an "unreported" category, the 1960 reported modal shares were scaled up by a factor of 1.045 so that their total would equal approximately 100%.
Table 2: Trends in Modal Split for Daily Travel in the United States (1969-2001) (percent of trips by transport mode, all trip purposes)
| Mode of Transportation | 1969 (1) | 1977 | 1983 | 1990 | 1995 |
|---|---|---|---|---|---|
| Auto2 | 81.8 | 83.7 | 82 | 87.1 | 86.5 |
| Transit | 3.2 | 2.6 | 2.2 | 2 | 1.8 |
| Walk2 | na | 9.3 | 8.5 | 7.2 | 5.4 |
| Bicycle | na | 0.7 | 0.8 | 0.7 | 0.9 |
Source: Federal Highway Administration, Nationwide Personal Transportation Surveys 1969, 1977, 1983, 1990, and 1995; and National Household Travel Survey, 2001.
Note: Unlike all subsequent tables, these NPTS and NHTS modal split percentages are for daily, local travel in aggregate for the entire USA, both urban and rural, as reported by the FHWA in its own NPTS and NHTS reports. Our own tabulations, from Table 3 onward, include only local trips in urban areas.
1. The 1969 NPTS did not sample walk and bike trips, thus artificially inflating the modal split shares of the motorized modes compared to the NPTS surveys in later years. To ensure some degree of comparability, we adjusted downward the reported motorized shares of trips in 1969 by 10%, using the percentage of walk and bike trips in 1977. That is why the column adds to 90% and not 100%. Our adjustment is rough, but otherwise, the 1969 and later NPTS modal split distributions would be completely incomparable.
2. The decrease in auto mode share from 1995 to 2001, and the corresponding increase in walk mode share during the same period, are due to a change in sampling methodology that captures previously unreported walk trips.
3. The "other" categories includes mainly school bus trips, which account for roughly 2 -3% of all trips in each of the survey years. It also includes taxicabs, ferries, airplanes, and helicopters.
travelers across different means of transport, trip distances, locations, and times of day of travel. On the benefit side, the equity impacts of subsidy expenditures depend on variations in socioeconomic characteristics of travelers along those same dimensions of travel behavior. The extent to which the poor benefit from transit subsidies depends on the degree to which they actually use the specific type of transit being subsidized. Disaggregation of travel statistics also helps identify groups suffering from low mobility and may suggest the most effective approaches to remedying their inadequate accessibility to transport services.
The 2001 NHTS
sively with urban travel, we focus on the daily trip portion of the NHTS and compare that part of the 2001 survey with the former NPTS surveys of 1969, 1977, 1983, 1990, and 1995. While the decennial Census provides information for the journey to work (less than a fifth of all trips), the NPTS and NHTS surveys are the only sources of comprehensive, nationwide data on trips for all purposes. Similar to the NPTS surveys, the NHTS reports a wide range of information about the socioeconomic characteristics of households, as well as their motor vehicle ownership and many aspects of their travel. For example, it reports the number of trips per day and, for each trip, the means of travel, day and time of travel, trip distance, and trip purpose.
The National Household Travel Survey was conducted for the first time in 2001 and replaces the Nationwide Personal Transportation Survey for daily travel and the American Travel Survey (ATS) for long-distance travel. Since this article deals exclu-
The 2001 NHTS was funded and coordinated by the US Department of Transportation (Federal Highway Administration, Bureau of Transportation Statistics, and the National Highway Traffic Safety Administration). Two private firms, however, actually conducted the survey through telephone interviews: Westat (Rockville, MD) and Battelle/Morpace (Farmington Hills, MI).
The 2001 NHTS incorporates several important improvements in survey methodology, just as the 1995 NPTS had greatly improved over earlier NPTS surveys. For example, walk trips had been significantly underreported in all earlier surveys. Thus, the 2001 NHTS included several special prompts in the survey questionnaire to ensure that all walk trips were reported. Moreover, because earlier surveys had reported some questionable trip lengths, multiple data collection methods were used to achieve more accurate trip distances. The 2001 survey also collected more detailed information on trips made to access transit services.
Of course, the NHTS suffers from all the problems of telephone surveys. Most importantly, it undersamples low-income households without telephones. To correct that problem, survey responses were weighted to make the overall sample representative of the population as a whole. Indeed, the weighting of undersampled households in the 2001 NHTS was more extensive than in any previous survey. The NHTS does not, however, take into account the increasing number of households with only cellular phones that cannot be reached by standard telephone survey techniques.
The 2001 NHTS was conducted over the 14-month period from March 2001 to May 2002, thus ensuring coverage of every month of the year. Unfortunately, that timing turned out to be problematic due to the September 11, 2001 terrorist attacks on the World Trade Center in New York City and the Pentagon in Washington, DC. The attacks disrupted transport services for months, especially curtailing long-distance travel. It is not certain what impacts the attacks had on urban travel, but it seems likely that both the amount of travel and modal choice were affected. That may have distorted the survey results to some unknown extent.
As with the earlier NPTS surveys, the NHTS only includes the civilian, noninstitutionalized population of the United States. It explicitly excludes motels, hotels, prisons, military barracks, convents, monasteries, and any living quarters with 10 or more unrelated occupants. The NHTS included college students, however, provided that dormitory, fraternity or sorority rooms had telephones and fewer than 10 occupants. The 2001 survey interviewed 25,721 households nationwide, but we analyzed the responses of only the 19,768 households living in urban areas. We further restricted our analysis to urban travel by eliminating all trips over 75 miles. The resulting sample included 173,974 urban trips (out of 248,517 total trips for the entire NHTS sample). Our analysis of the NHTS, therefore, varies from other studies that examine the entire sample, including nonurban households and trips.
Impact of Trip Purpose on Modal Choice
As already noted in Tables 1 and 2, public transit has been serving a declining percentage of all trip purposes, but its share of work trips has been consistently higher than for nonwork trips. That is evident not only from comparing the journey-to-work data from the Census (Table 1) with the NPTS all-purpose data (Table 2), but also from disaggregating the NHTS data by trip purpose, as in Table 3. It shows that transit served 3.7% of all work trips in 2001, compared to 1.4% of shopping trips, 1.0% of social and recreational trips, and 2.2% of school and church trips. The rail transit modes are especially focused on the work trip.
Single occupant auto use (SOV) is the predominant choice for the work trip, accounting for 75.4% of all journeys to work. Carpooling—via high occupancy vehicle (HOV)—is much more prevalent, however, for all other trip purposes, accounting for over half of such trips. Family members are often passengers on car trips for shopping,
Table 3: Variation in Modal Choice by Trip Purpose (percentage of trips by means of transportation)
| Mode of Transportation | | | |
|---|---|---|---|
| | Work and Work Related | Shopping and Services | Social and Recreation |
| Total Auto | 92.1 | 91.5 | 84.1 |
| SOV1 | 75.4 | 38.4 | 27.6 |
| HOV2 | 16.8 | 53.2 | 56.6 |
| Total Transit | 3.7 | 1.4 | 1.0 |
| Bus and Light Rail3 | 2.1 | 1.2 | 0.7 |
| Metro/Subway/Heavy Rail4 | 1.1 | 0.1 | 0.3 |
| Commuter Rail5 | 0.5 | 0.0 | 0.0 |
| Total Nonmotorized | 3.9 | 6.8 | 14.0 |
| Walk | 3.4 | 6.5 | 12.7 |
| Bicycle | 0.5 | 0.3 | 1.3 |
| School Bus | 0.1 | 0.0 | 0.2 |
| Taxicab | 0.1 | 0.1 | 0.1 |
| Other | 0.1 | 0.2 | 0.5 |
| All | 100 | 100 | 100 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
recreation, church, and school, while they seldom accompany each other to work.
Walking and bicycling are most used for social and recreational trips and for trips to school. Nonmotorized transportation is used much less for work trips, probably due to the longer length of work trips and the need to minimize travel time. Likewise, few travelers rely on walking or cycling for shopping, probably because those modes are not well suited to carrying packages. Moreover, most shopping facilities are now located far from residential neighborhoods, no longer within walking or cycling distance for most households.
Regional Variations in Transit Use, Walking, and Cycling
The nationwide aggregate statistics shown in most tables in this article hide the enormous variation in travel behavior from one region of the country to another. As shown in Table 4, the most transit-oriented region, the MidAtlantic, has a transit modal share that is 15 times higher than in the least transit-oriented region, the East South Central (5.8% vs. 0.4%). The Pacific and New England regions follow the Mid-Atlantic region in order of their transit shares (2.2% and 1.8%, respectively).
Regional variations in walking are also striking, and strongly correlated with transit modal share. Thus, the highest walk modal share is also in the Mid-Atlantic states (15.8%), followed by the Pacific region (10.6%), and New England (10.3%). Conversely, the lowest shares of walk trips are in the East South Central (6.0%) and the West South Central (6.3%). The correlation between transit use and walking is probably due to the more walkable, compact urban form in transit-oriented cities and the crucial role of walking to access transit stops.
Bicycling has a somewhat different regional pattern, with the highest level in the Pacific (1.1%), but roughly the same levels in the rest of the country (0.7% to 0.9%), except for the East South Central, which has a much lower level (0.4%). Thus, the East South Central has the lowest levels of transit use, walking, and cycling, and is the most dependent on the auto for all travel.
Impact of Income on Travel Behavior
Just as with the 1995 NPTS, the 2001 NHTS shows a striking increase in travel with increased income levels. We have altered the income categories in 2001 to account for inflation and the shifting distribution of households to higher income levels. Nevertheless, the impact of income on daily trip frequency and mileage covered is virtually the same for both surveys. Thus, households with incomes less than $20,000 a year made an average of 3.2 trips per person, per day in 2001 compared to 4.8 trips per day for households with incomes of $100,000 or more (see Table 5). Not only do higherincome households make more trips per day, but they also make longer trips, covering almost twice the total mileage per day of low-income households (31.8 miles vs. 17.9 miles per person, per day).
The much lower mobility rates of the lowincome households might be interpreted as a basic inequity in our urban transportation system. Clearly, many low-income households are cut off from some destinations they need to reach because they cannot afford the automotive transportation needed to access most parts of metropolitan areas. That is especially serious in the case of inaccessible job sites, since poverty is thus directly perpetuated. Moreover, inability to reach medical, educational, training, shopping, and recreational facilities can also seriously impair the quality of life of poor households.
Table 4: Regional Variations in Modal Shares for Transit, Walking, and Bicycling (percentage of trips by transit)
| Mode of Transportation | New England | Middle Atlantic | East North Central | West North Central | South Atlantic | East South Central | West South Central | Mountain |
|---|---|---|---|---|---|---|---|---|
| Total Transit | 1.8 | 5.8 | 1.3 | 0.6 | 1.6 | 0.4 | 0.7 | 0.8 |
| Bus and Light Rail | 0.7 | 3 | 0.9 | 0.5 | 1.2 | 0.4 | 0.7 | 0.8 |
| Metro/Subway/ Heavy Rail | 0.9 | 2.3 | 0.2 | 0 | 0.3 | 0 | 0 | 0 |
| Commuter Rail | 0.3 | 0.5 | 0.2 | 0 | 0.1 | 0 | 0 | 0 |
| Total Nonmotorized | 11 | 16.7 | 9.5 | 7.3 | 8.5 | 6.4 | 7.1 | 9.5 |
| Walk | 10.3 | 15.8 | 8.6 | 6.6 | 7.6 | 6 | 6.3 | 8.7 |
| Bicycle | 0.7 | 0.8 | 0.9 | 0.7 | 0.9 | 0.4 | 0.8 | 0.8 |
Source: Calculated by the authors from the 2001 NHTS.
Table 5: Daily Travel per Capita by Income Class
| Household Income | Trips per Day, per Person |
|---|---|
| Less than $20,000 | 3.2 |
| $20,000 to $39,999 | 3.9 |
| $40,000 to $74,999 | 4.2 |
| $75,000 to $99,999 | 4.3 |
| $100,000 and over | 4.8 |
| All | 4 |
Source: Calculated from the 2001 NHTS by Mary Ann Keyes, Federal Highway Administration, US Department of Transportation. Note: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
To some extent, however, the lower mobility of low-income households reflects their higher rates of unemployment and retirement, and thus fewer trips to work. Their shorter trip lengths might also result from the concentration of the poor in central cities, where things are closer together and do not require such long trips as in the suburbs.
As expected, the rate of auto ownership rises with increasing household income (see Table 6 and Figure 1). While 26.5% of households with incomes less than $20,000 have no motor vehicle at all, only 5.0% of households in the next highest income category ($20,000 to $39,999) have no motor vehicle. Only 1.2% of households with incomes over $75,000 have no motor vehicle. Thus, by far the largest jump in auto ownership comes at the low end of the income scale. A car is obviously one of the first purchases households make as soon as they can, even if it strains their already limited budgets. Indeed, it is probably unique to the United States that three-fourths of even its poorest households own a car. That reflects the extent to which the car has become a virtual necessity for even the most basic transportation needs in most American metropolitan areas.
category to 50.9% in the $20,000 to $39,999 category and 87.8% in the $100,000 and over category. The percentage of households with three or more cars increases from 7.7% in the under $20,000 category to 15.3% in the $20,000 to $39,999 category and 38.5% in the $100,000 and over category. The sharp increase in multiple car ownership with increased income is fully expected, and is also consistent with all earlier NPTS surveys. Increased income obviously makes cars more affordable. Moreover, there is a positive correlation between income and household size in the NHTS sample, so higher-income households also have more cars because they are larger. Nevertheless, even 7.7% of lowincome households reported owning three or more cars, which seems a bit surprising. That might reflect underreported incomes or substantial assets of retired households with low current incomes.
Similarly, the rate of multiple car ownership increases with income. Thus, the percentage of households with two or more cars increases from 25.2% in the under $20,000
Income is the primary determinant of auto ownership, which, in turn, is the main determinant of modal choice. As shown in Table 7, the ownership of even one car dramatically transforms travel behavior. Thus, transit use drops from 19.1% of trips by households with no car to only 2.7% of trips by households with one car. Equally striking, walk trips fall from 41.1% of trips by households with no car to only 12.5% of trips by households with one car. Bike trips fall from
Table 6: Vehicle Ownership by Income Class (percentage distribution within each income class)
| Vehicles Per Household | | | | | |
|---|---|---|---|---|---|
| | Less than $20,000 | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over |
| 0 | 26.5 | 5.0 | 2.3 | 0.9 | 1.5 |
| 1 | 48.3 | 44.1 | 26.8 | 13.1 | 10.7 |
| 2 | 17.5 | 35.6 | 45.6 | 50.6 | 49.3 |
| 3 or more | 7.7 | 15.3 | 25.3 | 35.4 | 38.5 |
| Total | 100 | 100 | 100 | 100 | 100 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: The sample was limited to residents of urban areas. Vehicles include passenger cars, as well as station wagons, passenger vans, sport-utility vehicles, pickup trucks, light trucks, motorcycles, mopeds, and recreational vehicles. This data include only residents of urban areas and urban clusters.
2.4% to 0.7% of all trips. And taxi trips fall from 1.0% to 0.2% of all trips. Subsequent increases in auto ownership to two, three, or more cars per household have relatively minor additional impacts on travel behavior, although they further decrease transit use, walking, and cycling, as expected. Thus, households with three or more cars make only 0.5% of their trips by transit, 6.3% by walking, 0.8% by bicycle, and 0.1% by taxi.
1995. Most of those auto trips are reported as passengers in someone else's car (for HOV), but 5.2% were made as drivers in 2001 (vs. 5.7% in 1995). 7 That can only be explained as the result of renting cars or borrowing them from neighbors, friends, or relatives who own cars.
These patterns mirror those in the 1995 NPTS and roughly conform to expectations. Both surveys find considerable auto use even among households with no cars: 34.1% of all trips in 2001 and 29.6% of all trips in
The bad news for transit in Table 7 is that most households abandon public transportation as soon as they own their first car. The doubling of auto ownership per capita since 1960 is surely one of the most important reasons for the steady decline in transit's modal share, as shown in Tables 1 and 2. The already high and still rising level of auto
Table 7: Impact of Auto Ownership on Mode Choice (percentage of trips by means of transportation)
| Mode of Transportation | | | | |
|---|---|---|---|---|
| | 0 | 1 | 2 | 3 or more |
| Total Auto | 34.1 | 81.9 | 88.8 | 90.5 |
| SOV1 | 5.2 | 36.8 | 36.6 | 42.5 |
| HOV2 | 28.9 | 45.1 | 52.2 | 48.0 |
| Total Transit | 19.1 | 2.7 | 0.6 | 0.5 |
| Bus and Light Rail3 | 14.1 | 1.9 | 0.4 | 0.3 |
| Metro/Subway/Heavy Rail4 | 4.8 | 0.7 | 0.1 | 0.1 |
| Commuter Rail5 | 0.2 | 0.2 | 0.1 | 0.1 |
| Total Nonmotorized | 43.5 | 13.2 | 8.8 | 7.1 |
| Walk | 41.1 | 12.5 | 7.8 | 6.3 |
| Bicycle | 2.4 | 0.7 | 0.9 | 0.8 |
| School Bus | 1.5 | 1.7 | 1.4 | 1.4 |
| Taxicab | 1 | 0.2 | 0.1 | 0.1 |
| Other | 0.9 | 0.3 | 0.4 | 0.3 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
ownership in the United States will remain a strong deterrent to transit use in the coming years.
Walking and cycling plummet with increasing car ownership (from 43.5% to 7.1% of all trips), thus depriving people of much needed exercise. With 64% of Americans overweight in 2001, and 31% obese, leading medical and public health journals have explicitly advocated more walking and cycling for daily travel as the most affordable, feasible, and dependable way for Americans to get the additional exercise they need. 8 Similarly, the US Surgeon General specifically recommends more walking and cycling for practical, daily travel as an ideal approach to raising physical activity levels. 9 The availability of cars appears to present an almost irresistible temptation to drive instead of walking or cycling, even for short trips. Walking in European cities has also declined over the past few decades as auto ownership levels have risen, and obesity levels are now rising there as well, although they are only about a third of American obesity rates. 10
Unfortunately, the large increase in walk trips registered by the 2001 NHTS is probably not due to actual increases in walking. As already noted, there was a significant improvement in the survey questionnaire to capture the many walk trips not reported by the earlier NPTS surveys. While the share of trips by walking in 2001 seems realistic, the jump from 5.5% in 1995 to 9.5% in 2001 (as seen in Table 2) is exaggerated, since previous surveys were so defective in their sampling of walk trips. The slight decline in auto modal share reported from 1995 to 2001 is also artificial, since the new sampling procedure for walk trips considerably raised the number of total nonauto trips.
Table 8 shows the total impact of income on choice of travel mode, thus reflecting both its indirect impact via auto ownership and its direct impact through the overall need to travel and its correlation with employment. It also reflects the tendency of higher-income households to live in auto-dependent suburbs, where cars are necessary to reach almost all destinations. As expected, auto use rises with income, but the only increase in the auto's share of travel is from the poorest to the next higher income class (from 75.9% to 87.3% of all trips). With subsequent increases in income, there is virtually no additional increase in auto modal split share. Moreover, even the poorest households are only slightly less likely than affluent households to make their trips as drivers instead of as passengers in cars.
Just as Table 6 indicates that roughly three-fourths of the poorest households own at least one car, Table 8 shows that roughly three-fourths of their trips are by car. Thus, the automobile is the primary mode of travel not only of the affluent but also of the poor. Perhaps most surprising is that only 4.6% of the trips made by the lowest-income households are by any form of public transit. Indeed, the poor use cars 17 times more than transit for their urban trips (75.9% vs. 4.6%). Although the expense of owning, insuring, and operating a car unquestionably strains the limited budgets of poor households, they are left with virtually no alternative to the automobile. America's polycentric, sprawling metropolitan areas force almost all households to own and use cars to reach most destinations. In addition, transit systems often neglect the special travel needs of low-income households. Indeed, several studies suggest that low-income neighborhoods suffer from inferior service, excessively high fares, overcrowding, and routes that do not match their desired trip patterns. 11
While transit use generally declines with increased income, there are large and important variations by type of transit. Bus usage, in particular, plummets as incomes rise. Thus, the poor are eight times as likely as the affluent to take the bus (4.0% vs. 0.5% of trips). In sharp contrast, the affluent are three times more likely than the poor to take suburban rail (0.3% vs. 0.1% of trips).
Table 8: Modal Split by Income Class (percentage of trips by means of transportation)
| Mode of Transportation | Household Income | | | | | |
|---|---|---|---|---|---|---|
| | Less than $20,000 | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over | All |
| Total Auto | 75.9 | 87.3 | 88.1 | 87.4 | 86.9 | 85.9 |
| SOV1 | 30.0 | 37.9 | 39.2 | 38.6 | 37.9 | 37.3 |
| HOV2 | 45.9 | 49.5 | 48.9 | 48.7 | 49.0 | 48.6 |
| Total Transit | 4.6 | 1.4 | 1.1 | 0.9 | 1.5 | 1.7 |
| Bus and Light Rail3 | 4.0 | 1.0 | 0.7 | 0.5 | 0.5 | 1.2 |
| Metro/Subway/ Heavy Rail4 | 0.6 | 0.3 | 0.3 | 0.3 | 0.7 | 0.4 |
| Commuter Rail5 | 0.1 | 0.0 | 0.1 | 0.2 | 0.3 | 0.1 |
| Total Nonmotorized | 17.0 | 9.7 | 9.0 | 9.4 | 9.5 | 10.4 |
| Walk | 16.2 | 8.8 | 8.1 | 8.5 | 8.7 | 9.5 |
| Bicycle | 0.9 | 0.9 | 0.9 | 0.9 | 0.8 | 0.9 |
| School Bus | 1.9 | 1.3 | 1.4 | 1.5 | 1.4 | 1.5 |
| Taxicab | 0.2 | 0.1 | 0.1 | 0.2 | 0.3 | 0.1 |
| Other | 0.3 | 0.2 | 0.4 | 0.6 | 0.4 | 0.4 |
| All | 100 | 100 | 100 | 100 | 100 | 100 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
Bridging these two extremes, metro services have a rather bipolar distribution of riders, with usage concentrated most among the poor and the affluent, but including many riders in the middle-income classes as well. The metro's modal split share falls from 0.6% among the poor to 0.3% among the middle class and then rises to 0.7% among the most affluent.
These differences in rider incomes among transit modes are due to many factors. Most importantly, suburban rail tends to serve long trips from high-income suburbs to well paying jobs in the downtowns of major met- ropolitan areas. Suburban rail can sometimes outperform the automobile by offering faster, more comfortable, more dependable, and less stressful peak-hour travel, thus attracting even affluent passengers. Bus trips are generally shorter, slower, and less comfortable, and they focus more on local trips within central cities. Since they also suffer from an image of low-quality, lower-class service, buses rarely compete with the automobile among affluent travelers. The exceptions are a few specific markets such as express services to large downtowns.
Metro services appear to serve the broadest spectrum of the population, partly because they are an essential way to get around for almost everyone in New York City, which accounts for half of the nation's metro riders, and thus dominates all national statistics on metro usage. 12 High metro usage by affluent riders might be partially attributed to high-income households in exclusive or recently gentrified inner city neighborhoods. In addition, many new metro systems, such as those in Washington, DC and San Francisco, provide services comparable to suburban rail, extending far out to affluent suburban communities. Subsidized free or low-cost parking provided at outlying stations further encourages use by relatively affluent commuters. At the other end of the spectrum, metro use by the poor can be attributed to the many low-income households living in inner city neighborhoods within the service area of most metro systems. The income distribution of metro riders is bimodal not only in New York City but also in Boston, Washington, DC, Chicago, and virtually every other major city with a metro system.
Recent studies indicate that neighborhoods around some rail transit stations have been gentrifying, attracting increasing numbers of affluent households. As a result,
property values near such stations have risen significantly. 13 Indeed, low-income households can no longer afford the rising housing costs near some rail stations, forcing them to move to areas with less transit accessibility. The gentrification of working class neighborhoods has helped revitalize many inner cities and older suburbs, while increasing transit use among the affluent. Unfortunately, it has reduced the accessibility of lowincome households to rail transit, and appears to have lessened their use of both metro and commuter rail.
For example, households in the highest income group in the 2001 NHTS ($100,000 and over) made 1.0% of their trips by metro and commuter rail, while the highest income group in the 1995 NPTS ($80,000 and over) made only 0.7% of their trips by rail transit. By comparison, the lowest income group in the 2001 NHTS (under $20,000) made only 0.7% of their trips by rail transit, considerably less than the 1.2% rail transit share of the lowest income group in the 1995 NPTS (under $15,000). 14 That suggests that metro and commuter rail use has been increasing among the affluent but declining among the poor. 15 Although the 1995 and 2001 income categories are not exactly comparable, the 31.5% increase in per capita income in the USA during those years make the income brackets roughly equivalent. 16
Government intervention may be necessary to ensure the affordability of transitaccessible housing for poor and working class households. For example, Fannie Mae's location-efficient mortgage program, which focuses on neighborhoods near transit stops, might be further expanded and targeted more toward low-income households. 17
Large differences in transit rider incomes are important for public policy purposes, since rail transit almost always requires much larger subsidies than bus transit. Thus, a refocusing of subsidies on improving bus services would probably benefit the poor more than spending most future subsidies on expensive new rail transit systems. Of course, there are many other reasons for subsidizing rail transit. For example, some studies suggest that rail systems are more effective than buses in achieving congestion and pollution relief, energy savings, economic development, and more compact land use. 18 Moreover, transit systems must be viewed as a synergistic whole, and even households that usually ride buses benefit from the greater connectivity, speed, and coverage permitted by truly multimodal transit services. Low-income households make a much higher percentage of their trips by transit in large cities with multimodal systems that include rail.
Table 9 shows variation in transit's modal share by income class and size of metropolitan area. Transit use increases sharply with population size. Thus, for all income groups in aggregate, transit modal share rises from 0.4% in areas with less than 250,000 population to 3.4% in areas with a population of 3 million or more.
Each of the income groups shown in Table 9 uses transit much more in large metropolitan areas than in small metropolitan areas. While only 0.1% of affluent households use transit in small metropolitan areas, that modal share rises to 2.2% in the largest metropolitan areas. The increase is due to the greater availability of rail transit in large cities, and the greater likelihood that affluent households will use rail transit compared to bus transit. The jump in transit use by the poor is even greater, from 1.1% to 10.6%. And the poor use transit more than the affluent in every population size category. Yet the ratio of transit mode shares between the poor and the affluent is highest in the smallest metropolitan areas (11:1) and lowest in the largest metropolitan areas (5:1), indicating that the poor account for a higher percentage of total transit riders in small cities than in large cities. In short, most transit riders in small cities are bus riders and most of them are poor. By comparison, transit riders
Table 9: Public Transit's Market Share by Population Size and Household Income (percentage of trips by transit)
| Metropolitan Area Population | | | | | |
|---|---|---|---|---|---|
| | Less than $20,000 | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over |
| Less than 250,000 | 1.1 | 0.4 | 0.1 | 0.1 | 0.1 |
| 250,000 - 499,999 | 2.2 | 0.3 | 0.4 | 0.1 | 0.3 |
| 500,000 - 999,999 | 1.8 | 0.9 | 0.1 | 0.1 | 0.1 |
| 1,000,000 - 2,999,999 | 5.4 | 0.6 | 0.6 | 0.3 | 0.3 |
| 3 million or more | 10.6 | 3.4 | 2.3 | 1.5 | 2.2 |
| Nation | 4.8 | 1.1 | 0.9 | 0.7 | 1.1 |
Source: Calculated by the authors from the 2001 NHTS.
Note: The metropolitan statistical area (MSA) totals in this table differ slightly from our other urban totals because MSAs by definition include entire counties, parts of which can be rural.
in the largest metropolitan areas use both bus and rail transit and include a much higher proportion of affluent users.
Table 8 reveals some interesting impacts of income on rates of walking, cycling, and taxi use. Walking declines sharply with increasing income, from 16.2% of all trips in the poorest income category to about 9% in all other income categories. The difference is all at the lower end of the income scale and is clearly due to lower auto ownership, as discussed earlier. Bicycling, by comparison, appears to be roughly the same at all incomes levels, accounting for about 0.9% of all trips across the income spectrum. Taxi use is bimodal, with the highest usage among the poor and the affluent. For the poor, taxis provide the closest substitute for the cars they are less likely to own. For the affluent, taxis provide convenient access to airports and train stations, and quick local trips within downtown areas.
among higher income classes has increased substantially since 1995, or it might simply be due to differences in survey methods. Likewise, the 1995 NPTS showed a much higher level of taxi use among the poor (0.5%) than found in the 2001 NHTS (0.2%). It is unclear why taxi use among the poor is less pronounced than in 1995.
Although most of these income differences are consistent with those shown in the 1995 NPTS, there are some discrepancies. For example, the 1995 NPTS showed a marked decline in cycling with increased income, while the 2001 NHTS shows no drop at all. It is possible that bicycling
Table 10 reflects basically the same sort of information as Table 8 but presents the distribution of each mode's users among the various income classes, and not the distribution of each income class's trips among the modes (modal split). This information is especially useful for calculating the equity impacts of transportation finance. It shows more clearly than Table 8, for example, that mainly the poor use buses. Households earning less than $20,000 account for 47.1% of bus riders but only 19.7% of metro riders and 6.3% of suburban rail riders. Conversely, households earning $100,000 or more account for 41.6% of suburban rail riders and 27.2% of metro riders, but only 6.8% of bus riders. 19
Table 10 highlights the bimodal nature of taxi use, with 22.3% of taxi passengers from the lowest income class and 33.3% from the highest income class. Pedestrians are somewhat more concentrated in the lower income
Table 10: Income Distribution of Each Mode's Users (percentage composition by income class)
| Mode of Transportation | Household Income | | | | | |
|---|---|---|---|---|---|---|
| | Less than $20,000 | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over | All |
| Total Auto | 12.3 | 25.0 | 32.5 | 14.4 | 15.8 | 100 |
| SOV1 | 11.2 | 24.9 | 33.3 | 14.7 | 15.9 | 100 |
| HOV2 | 13.2 | 25.0 | 31.8 | 14.2 | 15.8 | 100 |
| Total Transit | 37.8 | 19.8 | 21.0 | 7.4 | 14.1 | 100 |
| Bus and Light Rail3 | 47.1 | 21.4 | 19.0 | 5.6 | 6.8 | 100 |
| Metro/Subway/ Heavy Rail4 | 19.7 | 18.7 | 25.2 | 9.1 | 27.2 | 100 |
| Commuter Rail5 | 6.3 | 7.0 | 26.1 | 19.1 | 41.6 | 100 |
| Total Nonmotorized | 22.7 | 22.8 | 27.4 | 12.8 | 14.3 | 100 |
| Walk | 23.6 | 22.6 | 26.9 | 12.6 | 14.2 | 100 |
| Bicycle | 13.5 | 24.1 | 32.8 | 15.0 | 14.6 | 100 |
| School Bus | 17.9 | 22.1 | 30.0 | 15.0 | 15.0 | 100 |
| Taxicab | 22.3 | 12.5 | 14.0 | 17.9 | 33.3 | 100 |
| Other | 12.3 | 16.5 | 30.5 | 23.2 | 17.4 | 100 |
| All | 13.9 | 24.6 | 31.7 | 14.2 | 15.7 | 100 |
| Overall Sample Distribut | ion | | | | | |
| Households | 22.7 | 27.8 | 27.9 | 10.3 | 11.3 | 100 |
| Persons | 17.5 | 25.2 | 30.1 | 13.1 | 14.0 | 100 |
| Trips | 13.9 | 24.6 | 31.7 | 14.2 | 15.7 | 100 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
classes, but bicyclists are distributed evenly across the entire income spectrum, roughly in proportion to their share of the population.
As expected, high-income households make longer trips than low-income households, as shown in Table 11. For all modes in aggregate, the average trip length for lowincome households is 1.5 miles shorter than for the highest-income households (5.6 miles vs. 7.1 miles). Differences in car trip lengths are not very large, however—only a mile between the top and bottom income classes (6.7 miles vs. 7.7 miles). That suggests that any user charge or tax proportional to vehicle miles traveled (such as roadway tolls or the gasoline tax) would be regressive, since
the poor would pay only slightly less than the affluent, and the payments would be a much higher percentage of their incomes. 20 To offset such regressivity, the tax revenues would have to be distributed in a way that explicitly benefits low-income households.
While the lengths of auto trips vary only slightly by income, the differences are much larger for transit. Low-income households make transit trips that are only about half as long as those by the most affluent transit riders, but there is substantial variation by type of transit. Metro trip lengths are only slightly different among income classes, possibly due to the long subway trips made by low-income residents of The Bronx, Brooklyn, and Queens to other parts of New York City's vast subway network. Income-based differences in bus and commuter rail trip lengths are much larger. The affluent make bus trips that are almost twice as long as those made by poor households (10.3 miles vs. 5.9 miles), and they make commuter rail trips that are four times longer (27.8 miles
Table 11: Average Trip Length by Mode and Income Class (in miles)
| Mode of Transportation | Household Income | | | | | |
|---|---|---|---|---|---|---|
| | Less than $20,000 | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over | All |
| Total Auto | 6.7 | 7.4 | 7.8 | 7.7 | 7.7 | 7.5 |
| SOV1 | 6.4 | 7.0 | 7.9 | 8.4 | 7.9 | 7.6 |
| HOV2 | 6.9 | 7.7 | 7.7 | 7.2 | 7.4 | 7.5 |
| Total Transit | 6.0 | 8.0 | 8.3 | 12.0 | 13.2 | 8.3 |
| Bus and Light Rail3 | 5.9 | 7.7 | 7.0 | 6.7 | 10.3 | 6.8 |
| Metro/Subway/ Heavy Rail4 | 7.2 | 8.3 | 8.0 | 14.7 | 8.7 | 8.7 |
| Commuter Rail5 | 7.4 | 13.5 | 18.3 | 23.2 | 27.8 | 22.1 |
| Total Nonmotorized | 0.7 | 0.8 | 0.8 | 0.9 | 1.0 | 0.8 |
| Walk | 0.6 | 0.7 | 0.7 | 0.7 | 0.9 | 0.7 |
| Bicycle | 1.5 | 1.5 | 1.8 | 2.4 | 2.5 | 1.9 |
| School Bus | 5.0 | 5.2 | 5.6 | 5.2 | 5.2 | 5.3 |
| Taxicab | 4.1 | 5.2 | 7.5 | 6.2 | 5.6 | 5.6 |
| Other | 2.2 | 2.8 | 3.0 | 8.8 | 5.6 | 4.7 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
vs. 7.4 miles). That suggests that distancebased fares would generally favor the poor, since they make shorter trips. The exception appears to be metro systems, but there are some metro systems where distance-based fares would also favor the poor. Indeed, the systems in Washington, DC and San Francisco already have distance-based fare systems. By comparison, the flat-fare structure in New York City not only encourages long trips but also discourages short trips, since riders pay the same whether they travel one mile or thirty miles, and can transfer for free between subway lines as well as between subway and bus lines.
Finally, low-income households make considerably shorter walk and bike trips than high-income households. Their walk trips are about two-thirds as long, and their bike trips are three-fifths as long. The longer trips of more affluent households might be due to higher incidence of recreational walking and cycling for exercise or relaxation. It might also be due to the more central locations of poor households, where more compact, mixed-use neighborhoods facilitate shorter trips.
The last of the income-based differences we examine here is the variation in time of day of travel. Somewhat similar to the trip distance patterns in the previous table, there are no major differences among income classes in their time of day of car travel. The lowest-income category accounts for 9.4% of peak-hour car trips vs. 11.0% of off-peak car trips (see Table 12). Thus, peak-hour pricing of roadways might be quite regressive indeed, either forcing the poor off the roads during peak hours or extracting burdensome fees from them out of their limited budgets. Of course, the proceeds of congestion pricing could be redistributed to offset its regressivity, but the initial pricing itself unquestionably would be regressive. In London, for example, revenues from the newly instituted congestion pricing in the city center are used for improvements to public transport. The revenues might also be used to finance discount transit passes for low-income riders or special services targeted to serving lowincome neighborhoods.
Time-of-day differences in transit travel are much larger. For all transit modes in aggregate, the poor account for 24.9% of peak-hour transit trips but for 39.4% of offpeak trips. The differences are greatest for the rail transit modes. Poor households account for twice the percentage of off-peak metro riders as peak-hour riders (18.1% vs. 8.9%) and four times the percentage of offpeak commuter rail riders as peak-hour riders (11.7% vs. 3.1%). Thus, large off-peak discounts on transit fares would greatly benefit poor transit riders. Since rail transit enjoys substantial extra capacity during the off-peak hours, the marginal cost of any additional riders then would be virtually zero, justifying very low off-peak fares even on efficiency grounds.
From an equity perspective, the preceding variations in auto ownership, mobility, and travel behavior among different income groups are probably the most important. Nevertheless, there are significant variations by ethnic and racial group, by sex, and by age group that must also be considered in the development of transport policies.
Variation in Travel Behavior by Race and Ethnicity
Because blacks and Hispanics have considerably lower incomes than whites, the differences in travel behavior among these three groups also reflect differences among income classes. One thing they have in common is that they all rely overwhelmingly on the private car to get around. Although whites make the highest percentage of trips by car (87.6%), the other three groups are not far behind, with Asians and Hispanics at 83.1% and blacks at 78.9% (see Table 13).
Table 12: Peak vs. Off-peak Travel by Income Class (percentage distribution of each mode's users by time of day and income) 1
| | | $20,000 to $39,999 | $40,000 to $74,999 | $75,000 to $99,999 | $100,000 and over | All |
|---|---|---|---|---|---|---|
| Total Auto Peak Off-peak | | | | | | |
| | 9.4 | 22.2 | 33.8 | 15.9 | 18.8 | 100 |
| | 11.0 | 24.0 | 33.1 | 14.7 | 17.1 | 100 |
| Total Transit Peak Off-peak | | | | | | |
| | 24.9 | 20.1 | 22.2 | 12.8 | 20.0 | 100 |
| | 39.4 | 21.0 | 18.9 | 5.4 | 15.2 | 100 |
| Bus and Light Rail2 Peak Off-peak | | | | | | |
| | 36.8 | 24.6 | 20.5 | 10.3 | 7.9 | 100 |
| | 47.3 | 21.8 | 18.2 | 4.7 | 8.1 | 100 |
| Metro/Subway/Heavy R Peak Off-peak | ail3 | | | | | |
| | 8.9 | 15.3 | 28.1 | 11.3 | 36.5 | 100 |
| | 18.1 | 22.2 | 21.8 | 6.0 | 31.9 | 100 |
| Commuter Rail4 Peak Off-peak | | | | | | |
| | 3.1 | 9.9 | 19.8 | 25.2 | 42.0 | 100 |
| | 11.7 | 5.0 | 18.3 | 13.3 | 51.7 | 100 |
| Taxicab Peak Off-peak | | | | | | |
| | 8.8 | 20.6 | 14.7 | 20.6 | 35.3 | 100 |
| | 18.4 | 15.8 | 13.3 | 15.2 | 37.3 | 100 |
| All Modes Peak Off-peak | | | | | | |
| | 10.5 | 22.1 | 33.2 | 15.7 | 18.4 | 100 |
| | 12.0 | 23.7 | 32.6 | 14.6 | 17.1 | 100 |
| | | | | All Modes & All Incomes | | |
| | | | | Peak 31.2 | | |
Off-peak
68.8
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. Peak period was defined as 6 to 9 a.m. and 4 to 7 p.m. on weekdays; off-peak included all other times.
2. Light rail also includes conventional streetcars.
3. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
4. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
The two nonmotorized modes show quite different usage patterns. Bicycling is the highest among whites and Hispanics (0.9% of all trips). For whites, cycling is mostly for recreation, while for Hispanics, it is to reach the workplace. Walking is lower for whites (8.6%) than for the other three groups, who make 12%-13% of their trips by walking.
The largest differences among racial and ethnic groups are in their use of transit. Blacks are almost six times as likely as whites to take their trips by transit in general (5.3% vs. 0.9%), and they are eight times as likely to take the bus (4.2% vs. 0.5%). They are also more likely to take the metro (0.9% vs. 0.3%) and even commuter rail (0.2% vs. 0.1%). Hispanics use transit less than blacks but still about three times more than whites (2.4% vs. 0.9%). Their use of rail transit is the same as blacks, but they rely on buses four times more (2.0% vs. 0.5%). By comparison, Asians show just the reverse tendency, with the highest rail transit modal split shares of any group but with bus usage less than among blacks or Hispanics. That might reflect the concentration of Asian immigrants in the very largest American cities with extensive rail transit systems.
It is clear from Table 13 that racial and ethnic minorities rely far more on transit than whites. Moreover, they account for a large percentage of all transit users (not shown in Table 13). Blacks and Hispanics together comprise 54% of the country's transit users: 62% of all bus riders, 35% of all metro riders, and 29% of all commuter rail riders. 21 If one includes low-income households as well, the combination of blacks, Hispanics, and low-income nonminority households comprises an even higher percentage of transit riders: 63% overall, and 73% of bus riders, 44% of metro riders, and 31% of commuter rail riders.
Thus, improving transit services and fare structures in American cities would generally benefit minorities, as well as low-income households. Nevertheless, blacks, Hispanics, and poor households all rely primarily on bus transit and far less on rail transit. Subsidies spent on improving bus systems would especially favor minorities, as well as lowincome households in general.
As documented extensively in the literature, most transit systems have tended to take minority and low-income "captive riders" for granted and focused their fare and service policies on attracting middle-class and affluent riders out of their automobiles. 22 In many cases, the result has been lowerquality service for the poor and minorities and superior service, at high public subsidy cost, for the affluent. New and extended rail transit systems, in particular, have been aimed at luring affluent suburban motorists out of their cars to reduce congestion, air pollution, and energy use in American cities. Some have argued that it would be both more equitable and more efficient to target limited subsidy dollars to inner city bus services that are cheaper, more intensively used, and require far less subsidy per passenger served. 23
The impacts of transit subsidies, service distribution, and fare structure on minority groups have had legal consequences, especially during the 1980s. Civil rights organizations filed numerous administrative complaints and law suits against transit systems whose fare and service policies were seen as discriminating against minority riders. They claimed that such discrimination violates Title VI of the Civil Rights Act, even if it is not intentionally aimed at harming minorities but has that effect. Recent court rulings requiring proof of intent have virtually ended legal challenges of this sort. Nevertheless, it remains an important issue, especially since minorities comprise such a high percentage of transit riders. 24
Variation in Travel Behavior by Sex
At least in terms of their travel behavior, women and men are becoming more and
Table 13: Variation in Modal Choice by Race/Ethnicity (percentage of trips by means of transportation)
| Mode of Transportation | | | |
|---|---|---|---|
| | Black | Asian | White |
| Total Auto | 78.9 | 82.7 | 87.6 |
| SOV1 | 35.7 | 33.5 | 40.1 |
| HOV2 | 43.2 | 49.3 | 47.6 |
| Total Transit | 5.3 | 3.2 | 0.9 |
| Bus and Light Rail3 | 4.2 | 1.8 | 0.5 |
| Metro/Subway/Heavy Rail4 | 0.9 | 1.1 | 0.3 |
| Commuter Rail5 | 0.2 | 0.3 | 0.1 |
| Total Nonmotorized | 13.2 | 12.3 | 9.6 |
| Walk | 12.6 | 11.7 | 8.6 |
| Bicycle | 0.6 | 0.5 | 0.9 |
| School Bus | 2.1 | 1.4 | 1.3 |
| Taxicab | 0.2 | 0.2 | 0.1 |
| Other | 0.2 | 0.1 | 0.4 |
| All | 100 | 100 | 100 |
| Overall Sample Distribution7 | | | |
| Percent of Total Households | 11.3 | 2.1 | 74.3 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
6. The Hispanic category was defined to be mutually exclusive of blacks and whites.
7. Rows do not add to 100% because some racial and ethnic categories are not shown.
more alike. As shown in Table 14, there are only minor differences by sex in choice of travel mode. Men and women both rely on the private car for about 86% of their urban trips. The only difference here is that women are more likely than men to carpool (51.5% vs. 44.7%), perhaps because mothers often chauffeur their children to school, sports events, and friends' houses. Transit use, taxi use, and walking are only slightly different among men and women. The only major difference in travel behavior is that women are far less likely to cycle (0.5% vs. 1.2%). By comparison, women cycle almost as much as men in countries such as The Netherlands, Denmark, and Germany, where cities have invested heavily in cycling infrastructure and a range of policies to make cycling safe. 25
Table 14: Variation in Modal Choice by Sex (percentage of trips by means of transportation)
| Mode of Transportation | Sex | | |
|---|---|---|---|
| | Male | Female | All |
| Total Auto | 85.6 | 86.0 | 85.8 |
| SOV1 | 40.8 | 34.5 | 37.6 |
| HOV2 | 44.7 | 51.5 | 48.2 |
| Total Transit | 1.7 | 1.8 | 1.7 |
| Bus and Light Rail3 | 1.1 | 1.3 | 1.2 |
| Metro/Subway/Heavy Rail4 | 0.4 | 0.4 | 0.4 |
| Commuter Rail5 | 0.2 | 0.1 | 0.1 |
| Total Nonmotorized | 10.6 | 10.5 | 10.5 |
| Walk | 9.3 | 9.9 | 9.6 |
| Bicycle | 1.2 | 0.5 | 0.9 |
| School Bus | 1.6 | 1.3 | 1.4 |
| Taxicab | 0.1 | 0.1 | 0.1 |
| Other | 0.5 | 0.3 | 0.4 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
Variation in Travel Behavior by Age
Table 15 shows that mobility rates are lowest for children and the elderly, both in terms of trips per day and mileage covered. The age group 25-64 has the highest mobility at 4.4 trips per day and 32.7 miles per day. That is a third more trips per day than children and the elderly, and almost twice the mileage per day. Within the elderly grouping, however, there are enormous variations in mobility rates, much larger than the differences between the elderly and nonelderly. Thus, persons 85 years and older made only 1.9 trips per day, less than half the 3.9 trips per day made by those 65 to 69 years old. Simi- larly, persons 85 years and older covered only about a third as many miles per day as persons 65 to 69 years old.
While mobility rates clearly decline for the elderly, their choice of travel mode is quite similar to the rest of the adult population (see Table 16). Just as other Americans, they are overwhelmingly dependent on the car for getting around town. Indeed, they rely on the car for 89.1% of their trips, a higher percentage than for any other age group and three percentage points higher than the population as a whole. That is not surprising given the greater convenience, comfort, and privacy of the auto compared to other modes. What is perhaps surprising is that the
elderly make over half of their car trips as drivers, while most other age groups (except 40 to 64) make more trips as passengers than as drivers. Clearly, the elderly rely on the mobility and independence that the automobile enables them to preserve as they grow older. The main concern is that many elderly continue to drive in spite of serious deterioration of their eyesight, hearing, and reflexes, thus endangering themselves and others.
While elderly Germans and Dutch make over half their trips by walking or cycling, those nonmotorized modes account for only 9% of the trips of elderly Americans. 26 Even the Dutch elderly who are 75 or older make a fourth of all their trips by bike. Germans in this 75+ age group make 7% of their trips by bike. By comparison, Americans who are 65 or older make only 0.4% of their trips by bike.
In the United States, there are no feasible alternatives to the private car for most trip purposes in most cities. That forces the elderly to drive, whether they want to or not. Not only does the forced reliance on the pri- vate car expose elderly Americans to considerable traffic dangers, it deprives them of valuable physical exercise they would get from walking and cycling.
There are few differences between the findings of the 1995 NPTS and the 2001 NHTS regarding the impact of age on travel behavior. The mobility rate differences among age groups are virtually identical. The modal split share of walking almost doubles for all age groups, but that is due to the change in survey methodology. The 1995 NPTS and 2001 NHTS both confirm the overwhelming reliance of the elderly on the private car, as well as their high proportion of car trips as drivers. The 2001 NHTS, however, reports a decline in transit use by the elderly (from 2.2% in 1995 to 1.3% of all trips in 2001).
It is notable that the elderly are less likely than the population as a whole to take transit (1.3% vs. 1.7% of trips). Most of the transit trips the elderly make are by bus, with the two rail transit modes together accounting for only 0.1% of all trips by elderly
Table 15: Impact of Age on Mobility Levels
| 5 to 15 | 3.4 |
|---|---|
| 16 to 24 | 4 |
| 25 to 39 | 4.4 |
| 40 to 64 | 4.4 |
| 65+ | 3.4 |
| 65 to 69 | 3.9 |
| 70 to 74 | 3.8 |
| 75 to 79 | 3.1 |
| 80 to 84 | 2.8 |
| 85+ | 1.9 |
| All | 4 |
Source: Calculated from the 2001 NHTS by Mary Ann Keyes, Federal Highway Administration, US Department of Transportation. Note: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
Americans. That might reflect the difficulty of reaching rail transit stations, which tend to be located farther away and require either a long walk or a bus trip and transfer to reach them. The elderly also have difficulty negotiating the stairs in some rail stations, many of which are still not accessible for persons with disabilities. That is especially true in old subway systems like New York City's, where less than 5% of stations are wheelchair accessible. 27 At most stations, the rider must negotiate two or three long flights of stairs and long, circuitous passageways.
Older subway and commuter rail systems, with over 80% of the country's rail transit passengers, have found it too expensive to fully convert their stations.
In addition, most rail systems are radially designed, with a focus on serving peak-hour work trips between the suburbs and downtown. That obviously is not the sort of trip most elderly need to make. For shopping, medical, or social trips during the off-peak, bus services are usually a better option. That might also help explain the lesser use of rail transit by the elderly.
Table 16: Impact of Age on Modal Choice (percentage of trips by means of transportation)
| Mode of Transportation | | | | | |
|---|---|---|---|---|---|
| | 5 to 15 | 16 to 24 | 25 to 39 | 40 to 64 | 65 & over |
| Total Auto | 70.7 | 85.3 | 87.4 | 89.8 | 89.1 |
| SOV1 | 0.5 | 39.2 | 43.6 | 51.9 | 45.7 |
| HOV2 | 70.2 | 46.1 | 43.8 | 38.0 | 43.4 |
| Total Transit | 1.1 | 2.9 | 2.1 | 1.5 | 1.3 |
| Bus and Light Rail3 | 0.9 | 2.1 | 1.2 | 1.0 | 1.2 |
| Metro/Subway/Heavy Rail4 | 0.1 | 0.6 | 0.7 | 0.3 | 0.1 |
| Commuter Rail5 | 0.0 | 0.2 | 0.2 | 0.2 | 0.0 |
| Total Nonmotorized | 18.4 | 10.0 | 9.8 | 8.2 | 9.3 |
| Walk | 15.2 | 9.3 | 9.2 | 7.8 | 8.9 |
| Bicycle | 3.2 | 0.6 | 0.6 | 0.4 | 0.4 |
| School Bus | 8.9 | 1.2 | 0.0 | 0.0 | 0.1 |
| Taxicab | 0.1 | 0.1 | 0.2 | 0.1 | 0.1 |
| Other | 0.8 | 0.4 | 0.3 | 0.3 | 0.2 |
| All | 100 | 100 | 100 | 100 | 100 |
Source: Calculated by the authors from the 2001 NHTS.
Notes: In order to isolate urban travel, the sample was limited to residents of urban areas and trips of 75 miles or less.
1. SOV (single occupancy vehicle) includes vehicles with driver and no passengers.
2. HOV (high occupancy vehicle) includes vehicles with two or more occupants.
3. Light rail also includes conventional streetcars.
4. Metro/subway/heavy rail includes elevated rail and rail rapid transit.
5. Commuter rail includes suburban/regional rail systems and short-distance service provided by Amtrak.
Conclusions and Policy Implications
The most obvious message from the 2001 NHTS is that the private car continues to dominate urban travel among every segment of the American population. Indeed, the car's percentage of total trips probably increased from 1995 to 2001, even though the 2001 NHTS shows a slight decline from 1995. As noted previously, the NHTS used a new survey methodology that almost doubled the number of reported walk trips, which in turn reduced the percentage of car trips. More surprising, perhaps, is the increased share of HOV trips compared to SOV (from 51.5% of car trips in 1995 to 56.6% in 2001). The increase might be due to the long-term decline in the percentage share of work trips, which have the lowest vehicle occupancy, and a corresponding rise in the percentage share of nonwork trips, which have the highest vehicle occupancies. Thus, the finding does not necessarily contradict US Census data that report a long-term decline in carpooling for the work trip. Rather, it may reflect the declining relative importance of the journey to work, which in 2001 accounted for less than a fifth of all trips. 28
Public transit's share of urban trips continued to decline between 1995 and 2001, from 2.2% to 1.7%, but the reported decline is exaggerated due to the increased sampling of walk trips. 29 Since total unlinked transit trips—as reported by transit systems— actually rose by over a fifth between 1995 and 2001, such a sharp decline in transit's market share seems unlikely. 30 Some of the reported increase in unlinked transit trips, however, was artificial, resulting from additional transfers caused by the redesign of route networks with timed-transfer hubs. Moreover, the US Census shows a considerable decline in transit's market share of the work trip from 1990 to 2000 (from 5.3% to 4.7%). That also lends some credibility to the declining transit share of total trips
(from 2.2% to 1.7%) reported by the 2001 NHTS.
Nonmotorized transportation's share of urban trips (not shown in Table 2, which includes both urban and rural trips) increased from 6.8% to 10.4% between 1995 and 2001. Bicycling's share remained stable at 0.9%, while the walking share rose from 5.9% to 9.5% due to the survey changes noted earlier. Taxi use declined from 0.18% to 0.13% of all urban trips. 31
Clearly, the 1995 NPTS and 2001 NHTS are not directly comparable. As noted earlier in our description of the NHTS survey, several significant changes in methodology were made that affected the results. Thus, all the differences between 1995 and 2001 statistics must be viewed with caution. Nevertheless, the 1995 NPTS and 2001 NHTS show almost identical patterns of differences in travel behavior among different socioeconomic groupings. For example, both surveys confirm that only a small percentage of the urban poor use any form of transit (6.8% in 1995 vs. 4.6% in 2001) and instead rely on the auto for the vast majority of their trips (75.9% in both 1995 and 2001). Both surveys confirm the income disparities among transit riders, with bus riders the poorest and commuter rail riders the most affluent. Both show that poor transit riders are more likely to ride during the off-peak and to make shorter trips than affluent riders. Differences in travel behavior by ethnic and racial group, sex, and age are also virtually the same in 2001 as in 1995.
The overall policy implications of this socioeconomic analysis of the 2001 NHTS are roughly the same as those proposed by one of the authors in his analysis of the 1995 NPTS. 32 The disadvantaged in our society, especially the poor, minorities, and the elderly, depend crucially on the private car to get around the cities they live in. They use public transit for only a tiny percentage of their overall trips. Thus, public transit cannot be the main strategy for improving the mobility of these groups. Automobiles are obviously a necessity for disadvantaged groups for reaching most employment, educational, medical, shopping, social, and recreational destinations. Even those who cannot really afford cars or who have physical or mental disabilities are forced to rely on the car.
Nevertheless, public transit plays a critical role in assuring the mobility of disadvantaged groups in the largest, densest cities. In metropolitan areas with populations of 3 million or more, public transit serves 9.7% of the trips of blacks, 10.6% of the trips of the poor, and 28.7% of the trips of households without cars. 33 It is essential that government housing policies be coordinated with transportation in order to ensure the continued accessibility of disadvantaged groups to transit. As noted earlier, lowincome households are currently being displaced through the gentrification of neighborhoods around rail stations. Furthermore, government agencies have been decentralizing public housing for the poor and building it at lower densities, often located in neighborhoods with little if any transit service. Both housing and transportation policies should be coordinated to facilitate the accessibility of low-income households to transit.
Walking is probably the most ignored mode of transport, both in general as well as in reference to its importance among the disadvantaged. As shown in Tables 8 and 13, walking accounts for 16.2% of the trips by the poor, 12.6% of trips by blacks, and 11.8% of the trips of Hispanics. Yet in the United States, facilities for pedestrians are often inconvenient or nonexistent, leading to fatality rates per mile traveled 36 times higher than for occupants of cars and light trucks. 34 The lack of pedestrian safety especially affects minorities and the poor. For example, blacks account for 20% of all pedestrian deaths, almost twice their 12% share of the total population. 35
In The Netherlands and Germany, pedestrian fatalities per mile walked are only a tenth as high as in the United States. 36 European countries have invested heavily in extensive auto-free pedestrian zones; pedestrian-activated crossing signals; pedestrian refuge islands for crossing wide streets; wide, well-lit sidewalks on both sides of all streets; and traffic calming of most residential neighborhoods. Moreover, German and Dutch pedestrians benefit from comprehensive restrictions on motor vehicle use, rigorous traffic education of motorists, and strict enforcement of traffic regulations protecting pedestrians. Such measures are essential for improving pedestrian safety in the USA as well.
While over $75 billion a year is spent on federally-assisted roadway projects, less than $1 billion a year is spent on pedestrian and bicycling projects. 37 Only 0.7% of federal transportation funds are spent on improving the pedestrian environment and making it safer to walk. Moreover, "no state spends more than 2.7% of their federal transportation funds on sidewalks, crosswalks, traffic calming, speed humps, multiuse paths, or safety programs for cyclists and pedestrians." 38 Given the importance of walking in our overall urban transportation system, it is regrettable that all levels of government in the United States have so woefully neglected the needs of pedestrians.
The improved survey methodology in the 2001 NHTS reveals the crucial importance of walking for getting around cities, especially for the poor, minorities, and those without cars. Of course, there are many reasons to encourage more walking among all groups— to reduce roadway congestion, air pollution, noise, parking needs, energy use, and above all, to provide more daily physical exercise for everyone. Walking is especially important for the poor and minorities. Not only is it the most affordable of all transport modes, but it is also the most feasible in the inner city neighborhoods where many poor and minority households are concentrated and where so many things are within walking distance. Moreover, walking is the most important access mode for reaching transit stops. Since the poor and minorities depend on transit so much more than other socioeconomic groups, walking is crucial for that reason as well. For all these reasons, it is essential that federal, state, and local government agencies focus more on improving the safety, convenience, and feasibility of walking in our cities.
Endnotes
1. John Pucher, Chris Hendrickson, and Sue McNeil. "Socioeconomic Characteristics of Transit Riders: Some Recent Evidence." Traffic Quarterly 35(3) (1981): 461-483; John Pucher, and Fred Williams. "Socioeconomic Characteristics of Urban Travelers: Evidence from the 1990 NPTS." Transportation Quarterly 46(4) (1992): 561-582; John Pucher, Tim Evans, and Jeff Wenger. "Socioeconomics of Urban Travel: Evidence from the 1995 NPTS." Transportation Quarterly 52(3) (1998): 15-33.
2. The 1960 Census figures, unlike all later census years, included an "unreported" category that accounted for 4.3% of all survey responses. To make the 1960 modal split distributions comparable with later census years, the authors scaled up all reported modal shares by a factor of 1.045 so that the modal shares add up to approximately 100%.
3. It is important to note that these NPTS and NHTS modal split distributions in Table 2 differ from those in subsequent tables because they include all local, daily travel in the USA, including both rural and urban areas. These distributions were supplied directly by the Federal Highway Administration of USDOT. Long-term trend data were available only on this nationwide basis. Our own cross-tabulations of the 2001 NHTS, shown in subsequent tables, include only urban areas, except for Table 9, which includes some rural portions of counties in metropolitan statistical areas.
4. Calculated by the authors from the 2001 NHTS. For full details, see Table 6 of this article.
5. Federal Highway Administration and Bureau of Transportation Statistics. Inklings: Preliminary Results from the 2001 NHTS. Washington, DC: US Department of Transportation, 2003.
6. Federal Highway Administration. Highway Statistics. Washington, DC: US Department of Transportation, various years; and International Road Federation. World Road Statistics 2002. Washington, DC: International Road Federation, 2002.
7. John Pucher, Tim Evans, and Jeff Wenger. "Socioeconomics of Urban Travel: Evidence from the 1995 NPTS."
8. Katherine M. Flegal, Margaret D. Carroll, Cynthia L. Ogden, and Clifford L. Johnson. "Prevalence and Trends in Obesity Among Adults, 1999-2000." Journal of the American Medical Association 288(14) (2002): 1723-1727; Carlos Dora. "A Different Route to Health: Implications of Transport Policies." British Medical Journal 318 (1999): 1686-1689; Jeffrey P. Koplan, and William H. Dietz. "Caloric Imbalance and Public Health Policy." Journal of the American Medical Association 282 (1999): 1579-1581; Douglas Carnall. "Cycling and Health Promotion." British Medical Journal 320 (2000): 888; Simon P. Wolff, and C.J. Gilham. "Public Health Versus Public Policy? An Appraisal of British Urban Transport Policy." Public Health 105 (1991): 217-228; Mayer Hillman. "Health Promotion: The Potential of Non-motorized Transport," in Tony Fletcher, and Anthony J. McMichael (eds). Health at the Crossroads: Transport Policy and Urban Health. London: Wiley and Sons, 1997.
9. US Department of Health and Human Services. "Physical Activity and Health: A Report of the Surgeon General." Atlanta, GA: Centers for Disease Control and Prevention, 1996; and US Department of
Health and Human Services. Healthy People 2010: Understanding and Improving Health. 2nd ed. Washington, DC: US Government Printing Office, November 2000.
10. John Pucher, and Christian Lefevre. The Urban Transport Crisis in Europe and North America. London: Macmillan Press, 1996; World Health Organization. Obesity in Europe: The Case for Action. London: International Obesity Taskforce of the World Health Organization, September 2002. Accessible at: http://www.iotf.org/media/globalprev.htm.
11. John Pucher."Discrimination in Mass Transit." Journal of the American Planning Association 48(3) (1982): 315-326; Mark Garrett, and Brian Taylor. "Reconsidering Social Equity in Public Transit." Berkeley Planning Journal 13 (1999): 6-27; R. Bullard, and G. Johnson, eds. Just Transportation. Stony Creek, CT: New Society Publications, 1997.
12. John Pucher. "Renaissance of Public Transport in the USA?" Transportation Quarterly 56(1) (2002): 33-50.
13. R. Cervero, and M. Duncan. "Benefits of Proximity to Rail on Housing Markets: Experiences in Santa Clara County." Journal of Public Transportation 5(1) (2002): 1-18; R. Cervero, and M. Duncan. "Transit's Value-Added Effects: Light and Commuter Rail Services and Commercial Land Values." Transportation Research Record 1805 (2002): 8-15; J. Lin. "Gentrification and Transit in Northwest Chicago." Journal of the Transportation Research Forum 56(4) (2002): 175-191; G. Knaap, C. Ding, and L. Hopkins. "Do Plans Matter? The Effects of Light Rail Plans on Land Values in Station Areas." Journal of Planning Education and Research 21(1) (fall 2001): 32-39.
14. John Pucher, Tim Evans, and Jeff Wenger. "Socioeconomics of Urban Travel: Evidence from the 1995 NPTS."
15. This might also be true of light rail transit, but there were so few light rail observations in both the 1995 NPTS and the 2001 NHTS that it was impossible to separate out light rail for detailed socioeconomic analysis of its riders.
16. Thus, if the 31.1% growth rate is applied to the $15,000 income level in 1995, it would yield $19,700, quite close to the $20,000 cutoff we used for 2001. Applying 31.1% to the upper income category of $80,000 in 1995 yields $104,800, somewhat higher than the $100,000 category cutoff we used for 2001. The 31.1% growth in per capita income from 1995 to 2001 is derived from US Bureau of the Census, 2002 Statistical Abstract of the United States, Table 2, on population trends and Table 640, on personal income trends.
17. For details on location efficient mortgages, see http://www.locationefficiency.com.
18. Vukan Vuchic. Transportation for Livable Cities. New Bruswick, NJ, CUPR Press, 1999; and Peter Newman, and Jeffrey Kenworthy. Sustainability and Cities, Washington, DC, Island Press, 1999.
19. We tried to disaggregate metros into old systems (such as in New York City, Boston, and Chicago) and new systems (such as in Washington, DC, San Francisco, and Atlanta), since the two types have quite different designs and rider characteristics. We also tried to disaggregate light rail systems into old streetcar systems (such as in Boston and San Francisco) and new LRT systems (such as in St. Louis, Sacramento, Portland, OR, and San Jose, CA). Unfortunately, there were not enough sample observations to permit such further disaggregation. Indeed, it was not even possible to produce a separate category for light rail and streetcar combined, since they only generated 38 total trip observations (0.02% of all trips). Thus, LRT/streetcar had to be lumped in with bus services, as in previous census and NPTS studies.
20. Taxes and user charges are regressive when payments as a percentage of income fall with increasing household income.
21. Calculated by the authors from the 2001 NHTS.
22. John Pucher. "Discrimination in Mass Transit;" Mark Garrett, and Brian Taylor. "Reconsidering Social Justice in Public Transit"; Robert D. Bullard, and Glenn S. Johnson. Just Transportation.
23. See note 22 above.
24. See note 22 above.
25. John Pucher, and Lewis Dijkstra. "Making Walking and Cycling Safer: Lessons from Europe." Transportation Quarterly 54(3) (2000): 25-50.
26. See note 25 above.
27. Information provided by the New York City Transit Authority.
28. Federal Highway Administration and Bureau of Transportation Statistics. Inklings: Preliminary Results from the 2001 NHTS. Washington, DC: US Department of Transportation, 2003.
29. The 1.7% transit modal share cited here for 2001 is for urban travel only, compared to a 1.6% transit modal share for both urban and rural travel combined, as shown in Table 2. Likewise, the 2.2% transit modal share cited here for 1995 is for urban travel only, as reported in John Pucher, Tim Evans, and Jeff Wenger. "Socioeconomics of Urban Travel: Evidence from the 1995 NPTS," Exhibit 3. By comparison, the 1.8% transit share shown in Table 2 includes both urban and rural travel.
30. John Pucher. "Renaissance of Public Transport in the USA?"
31. See Table 8 and John Pucher, Tim Evans, and Jeff Wenger. "Socioeconomics of Urban Travel: Evidence from the 1995 NPTS," Exhibit 3.
32. See note 31 above.
33. Calculated by the authors from the 2001 NHTS.
34. See note 25 above.
35. Surface Transportation Policy Project. Mean Streets 2000. Washington, DC: Surface Transportation Policy Project, 2001.
36. See note 25 above.
37. Federal Highway Administration. Highway Statistics 2000. Washington, DC: US Department of Transportation, 2002; US Rep. James Oberstar. Opening remarks at Railvolution Conference, Washington, DC, October 4, 2002; Surface Transportation Policy Project. Mean Streets 2000. Washington, DC: Surface Transportation Policy Project, 2001.
38. Surface Transportation Policy Project, 2001, p. 5.
Acknowledgments
The authors would like to thank Martin Wachs, Alan Pisarski, Steven Polzin, W. Bruce Allen, Susan Liss, Bryant Gross, Nancy McGuckin, and Mary Ann Keyes for their advice and assistance in analyzing the 2001 NHTS. We take full responsibility, however, for any remaining errors and for all opinions expressed in this article.
John Pucher is a professor in the Bloustein School of Planning and Public Policy at Rutgers University (New Brunswick, New Jersey). Since earning a Ph.D. at the Massachusetts Institute of Technology in 1978, Pucher has conducted research on a wide range of topics in transport economics and finance, including numerous projects he has directed for the US Department of Transportation, the Canadian government, and various European ministries of transport. In 1996 Macmillan Press (UK) published The Urban Transport Crisis in Europe and North America, which summarizes Pucher's comparative research on transport systems, travel behavior, and public policies. Currently, his research focuses on walking and bicycling, and in particular, how American cities could learn from European policies to improve the safety, convenience, and feasibility of these nonmotorized modes in the United States. Pucher is co-principal investigator of a project for the Robert Wood Johnson Foundation that examines the need for Americans to increase their walking and cycling for daily transportation as the best way to ensure adequate levels of physical exercise and enhance overall public health. He is also working on a pedestrian/bicycle bill of rights that would improve walking and cycling conditions in American cities by reforming existing traffic statutes, which currently favor the motorized modes.
John Luciano Renne is a Ph.D. candidate and lecturer at the Bloustein School of Planning and Public Policy at Rutgers University. He teaches a graduate course in Sustainable Urban Development and is also a project manager at the Voorhees Transportation Policy Institute, where he is currently evaluating the New Jersey Transit Villages Initiative. Renne is an FHWA Eisenhower Transportation Fellow and Eno Transportation Foundation Fellow. He recently published "Facilitating the Financing and Development of 'Smart Growth'" in the "Ideas in Motion" section of the spring 2002 edition of Transportation Quarterly.
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CAPITOL LIMITEDROUTE GUIDE
CHICAGO • TOLEDO • CLEVELAND • PITTSBURGH • WASHINGTON, DC
We hope you enjoy reading this guide and learning about points of interest along our route. It is written starting from the western terminus of the train in Chicago and proceeds to points east, ending in Washington, D.C. If you boarded in Washington, just read the guide in reverse, remembering to look in the opposite direction referenced.
AMTRAK STATIONS are shown in all capital letters, as opposed to upper and lower case for towns and geographical areas through which the train travels but does not stop. The Amtrak System Timetable or the Capitol Limited ® panel card should be consulted for actual station times. While all service presented in this guide was accurate at the time of publication, routes and services are subject to change. Please contact Amtrak at 1-800-USA-RAIL, visit Amtrak.com or call your travel agent for the most current information.
Combining impressive geologic formations, man-made wonders and rich American history, this route is rife with feature attractions between the "City of Broad Shoulders" and its terminus in the nation's capital and city of magnificent monuments, Washington, D.C. From orderly farms in the heartland to spectacular views of the mountains above Pennsylvania and West Virginia valleys, the scenes are unforgettable. Today, their quiet beauty belies the ferocity of the many Civil War battles fought in and around the area. From striking rock formations to national historic landmarks, the Capitol Limited presents a journey upon which you will continue to reflect for some time to come. So relax and enjoy this unique view of Americana from your picture window!
[Amtrak Capitol Limited was named after the former Baltimore & Ohio Railroad's flagship passenger trains -- for many years the choice of travel between Chicago and Washington. In keeping with "B&O" tradition, you can choose from freshly prepared meals in the dining car, a full lounge/observation car and extra-fare sleeping car accommodations.]
WELCOME ABOARD
Chicago, IL
Welcome aboard the Capitol Limited, ® an all-American journey between America's heartland and the nation's capital – from the scenic farmlands of Ohio and Indiana through the Allegheny Mountains and the beautiful Potomac Valley. On board, you will experience the comfort and relaxation of train travel while witnessing some attractive scenery. We are happy to have you aboard today and want to ensure your trip is everything you want it to be. If there is anything that can be done to make your trip more enjoyable, please do not hesitate to call on any Amtrak employee.
THE TRAIN STAFF
The staff of the Capitol Limited is here to make your trip a special and enjoyable experience.
Conductor is responsible for the entire On-Board Services staff as well as ticket collection, the safety of passengers and the safe operation of the train.
Lead Service Attendant is responsible for the operation of the Dining car and Dining car staff.
Lounge Car Attendant is responsible for the operation of the Café/Lounge car
Sleeping Car Attendant is responsible for providing all service for passengers ticketed in Sleeping car accommodations, including room preparation, luggage service and any assistance necessary to ensure a comfortable journey. They can also assist with meal reservations or arrange for your meal to be served in the privacy and comfort of your accommodation.
Coach Attendant is responsible for providing service for passengers ticketed in coach. This includes seat assignment, pillow service, luggage service and other assistance to ensure a comfortable journey.
ACCOMMODATIONS
Superliner Sleeping accommodations provide a range of private rooms with amenities for day and night use. From roomettes to bedrooms featuring a private lavatory and shower, Sleeping car accommodations will suit any need and can be described in more detail by any member of the crew. Please ask to speak to the Conductor regarding the availability of rooms. Amtrak Metropolitan Lounge/ ClubAcela ® are available in Chicago and Washington for Sleeping car service passengers.
Coach seating provides a wide reclining seat with leg rest, folding tray table and overhead reading light. Free pillows and at-seat meal service are also available.
Dining service offers a wide range of full hot meals featuring regional cuisine prepared by Amtrak chefs with specialties unique to the Capitol Limited. The Dining car provides the perfect venue to meet your fellow passengers and enjoy a delicious meal while the scenery glides by your window. Sleeping car accommodation charges include meals in the Dining car while passengers ticketed in Coach may purchase Dining car meals at reasonable prices. Striking scenery and a great staff make dining on the Capitol Limited a memorable experience.
Sightseer Lounge/Café is the perfect location for scenic viewing and lighter fare. Large panoramic windows provide the perfect vantage point for sightseeing and making new friends. The Café is located on the lower level of the car offering sandwiches, snacks and beverages.
HOST RAILROADS are the freight and commuter railroads that Amtrak contracts with to operate Amtrak passenger trains. The Capitol Limited travels ChicagoPittsburgh –- Norfolk Southern (NS); Pittsburgh-Washington --- CSX.
Information contained in this route guide as well as described amenities and other on-board features are subject to changes without notice. While gratuities are not required for services provided, it is an appreciated way to convey to an employee that he or she has made your trip more enjoyable.
Continues on next page
IN-OH State Line
Kendallville
Central/Eastern Time
Roby
Huron
Amherst
Vermillion
Davis-Bessie Nuclear Plant
Maumee River
Bryan
La Porte
Gary
Pine Junction and Indiana Harbor
SANDUSKY, OH
TOLEDO, OH
WATERLOO, IN
ELKHART, IN
SOUTH BEND, IN
Hammond-Whiting, IN
Chicago
CHICAGO As we pull out of the covered platforms in the station, look left for an impressive view of the city skyline. Among its magnificent structures are the Sears Tower, Daley Center and John Hancock Building. Soon, again on the left, is Cellular Field, home of the Chicago White Sox. We now cross the South Branch of the Chicago River, famous for its backwards flow, and where ships ply Great Lakes ports along the Illinois and Michigan Canals. Sanitary engineers reversed its flow in the early 1900s to prevent epidemics. As we cross the Rock Island Railroad at Englewood, imagine the intense rivalry between the Twentieth Century and Broadway Limited trains as they raced one another to New York decades ago. Of note is the New Regal Theater, originally an "atmospheric" motion picture palace where the audience sat in an imaginary courtyard under the stars. Today, it is a showcase for live entertainment. The cemetery on the left is where Harold Washington, the city's first African American mayor, is buried.
Vibrant and energetic, Chicago is the industrial core of the Midwest and a major transportation hub. In the heart of America's agriculture belt, it is a leading distributor of farm products. Its many regional food specialties reflect the city's ethnic and working class roots. Its spirit is also exemplified in its unique architecture; here is where the word "skyscraper" originated in 1885. The arts and sciences are also alive here, with an abundance of world-renowned theaters and museums. Most Amtrak long-distance trains originate or terminate here. Soon we cross the Illinois/Indiana state line.
Roby Just east, power lines and grain elevators dominate the skyline of this area. The Indiana "Skyway" Toll Road, I-90, is on the right.
Hammond-Whiting As we pass through town, consider one of its early residents, Alvah Curtis Roebuck, a farm boy. Moving to Chicago, he started a mail order company with Richard Sears -- and thus began Sears, Roebuck and Co. The town is home to Purdue University. It boasts of one of the country's first professional football teams in the 1920s. Notable natives include the original "Doublemint Twins ® " of the famous chewing gum advertisements. A Pullman-Standard plant here produced railroad passenger cars between 1929 and 1981, many of them for Amtrak in the 1970s. In 1911, the "Betzmobile" was introduced here to great fanfare; unable to meet demand, the firm quickly succumbed.
Gary was planned by U.S. Steel in 1906. Many famous personalities grew up in the shadow of its furnaces, including the entertainers of the famous Jackson family, actor Karl Malden and astronaut Frank Borman.
LaPorte Here, between 1896 and 1897, French engineer Octave Chanute launched the Age of Flight with manned glider excursions on the high dunes that ring the shores of Lake Michigan. His designs were the basis for aviation projects around the world – including a motorized version built by the Wright Brothers in 1903.
SOUTH BEND To many, this city is synonymous with Notre Dame, both the university and the football team. Its famous golden dome arises in the distance on the left. To others, it is virtually defined by the Studebaker Corporation, which started making wagons here in 1852, came to prominence, and finally ceased auto making here in 1963. Its museum is a collection of vehicles from its 150-year history of production.
Note: The time change occurs here during the fall. When traveling eastbound between October and April, set your watch one hour ahead before arrival. When traveling westbound, set your watch one hour back departing South Bend.
ELKHART When Seventy-Six Trombones Come a Marchin' In -- it has to be Elkhart, which townspeople say was the inspiration for Broadway's hit, "The Music Man." For many years, it was known as the Brass Musical Instrument Capitol. Charles Conn made the first U.S. produced cornet here. Miles Laboratories, original maker of AlkaSeltzer, ® was founded in Elkhart. Today, it is known as the "Mobile Home Capital" due to its large RV manufacturing base, and it hosts one of the country's premier jazz events each June.
WATERLOO is our last stop in the Hoosier State. Founded in 1856, the town was named for its co-founder, Miles Waterman. Some wanted the town to be named Waterman, but he declined this honor and supported Waterloo, a popular name not only in this area but across the U.S.; there are 30 such towns in 26 states currently in existence. The American version of Waterloo is most likely derived from the town of the same name in Belgium where Napoleon's army was defeated. The phrase "met his waterloo" originated from this event, meaning a defeat, ruin, collapse or downfall.
Indiana/Ohio State Line
Note: The change to daylight savings time occurs here in the spring. When traveling eastbound between April and October, set your watch one hour ahead after departing Waterloo. When traveling westbound, set your watch back one hour before arriving in Waterloo.
Bryan Did you ever play with an "Etch-a-Sketch ® " toy as a child? If so, you've got a connection to this, the home of its maker, the Ohio Art ® Company. Also delighting children is the world's largest maker of candy canes and lollipops, the Spangler ® Company. Some of the town's many artesian wells still flow today, giving rise to its nickname, "The Fountain City." WNBO radio here is the nation's first to be solar powered. From here to Toledo, the 68.5-mile straight track is known as one of the "Air Line" routes due to its lack of even a single curve.
Point of Rocks
Harpers Ferry Tunnel
Hancock-WV, MD, & PA
Viaduct Junction
Wills Creek
WV-MD State Line
MD-WV State Line
PA-MD State Line
Salem
Garfield
OH-PA State Line
Ravenna
Falls Cut Tunnel
Salisbury Junction
Saddle Rock Curve
Kaufmann’s Run
Layton
Versailles
Braddock
Ambridge
Beaver Falls
Lovers Leap
The C&O Aqueduct
Kesslers Bridge/Graham Tunnel
ROCKVILLE, MD
HARPERS FERRY, WV
MARTINSBURG, WV
CUMBERLAND, MD
CONNELLSVILLE, MD
ALLIANCE, OH
Pittsburgh
TOLEDO was founded in 1833 where the Maumee River enters Lake Erie. Fort Miami to the south is where General "Mad" Anthony Wayne defeated the Indians in 1794, clearing the settlement of Northwestern Ohio and Northern Indiana. Congress had to intervene to prevent Ohio and Michigan from warring over ownership of Toledo in 1835. Today, Toledo is the Glass Capitol of the World, being home to OwensCorning. ® During daylight hours, watch for some of the world's largest grain elevators. Its largest employer for most of the last century was Jeep's ® original manufacturer, Willys/Overland. Although the town's well-known industrial base has contracted in recent years, it remains headquarters for the Big Three automakers' factories and parts suppliers. However, health care now leads the economy. Satirist P.J. O'Rourke, actor Jamie Farr and actress/model Katie Holmes all hail from Toledo.
from Spider Man TM 3, as well as the TV sitcom The Drew Carey Show. The city lies on the southern shore of Lake Erie, at the mouth of the Cuyahoga River; the half-mile-wide river valley divides the city into an east and west side. The city has been home to famous political and business leaders, including President James A. Garfield; John Hay, Secretary of State under President McKinley; and self-made millionaire John D. Rockefeller. The Man of Steel, Defender of Truth, Justice and the American Way, Superman, was the 1932 brainchild of two Clevelanders, Jerry Siegel and Joe Shuster.
During the night, we pass a huge nuclear power facility identifiable by massive plumes of steam. We cross the Portage River at Clinton, known as the "Walleye Capital of the World" due to an abundance of the fish caught here every year.
SANDUSKY To the left in the distance is the top of Cedar Point's roller coaster, one of the world's largest ride parks. Oliver Hazard Perry defeated the British fleet in 1813; a monument here stands testament. Possessed of an excellent natural harbor surrounded by islands, this is the second largest Great Lakes coal-shipping port. A network of abolitionists used its station on the "Underground Railroad" to help slaves escape to freedom before the Civil War. The city was the setting for the 1995 film, Tommy Boy.
Huron Thomas Alva Edison was born in the hamlet of Milan eight miles inland from here in 1847. Equipped with three months of formal schooling, he went on to own more patents than any other inventor. On the way into town, we cross the Huron River; on the way out of town, the Vermillion River, a tributary of Lake Erie.
ELYRIA was the birthplace in 1919 of the International Society for Crippled Children; the Easter Seal Society followed in 1934. Elyria became a notable whistlestop in American political history during the 2008 Presidential campaign when then-candidate John McCain and "folkhero" Joe the Plumber met at a rally and posed for photographs that were transmitted around the world. To the southwest is Oberlin College, one of the first to have coeducational classes. The city was named after its founder, Herman Ely, in 1817.
CLEVELAND is the largest city in the state, a leading manufacturing, trading and cultural center in the Midwest, and home to the Rock and Roll Hall of Fame Museum. Playhouse Square Center is the second largest performing arts center in the U.S. One Playhouse Square was the original studio where disc jockey Alan Freed popularized the term "rock and roll." Many films have been shot here, including scenes
ALLIANCE is, like many Ohio towns, built around the campus of a small college, Mount Union. Notable native Len Dawson, playing for the Dallas Texans (later becoming the Kansas City Chiefs), completed a 10-year run as the former AFL's highest rated career passer. Although he participated in a losing effort against Green Bay in Super Bowl I, he earned MVP accolades for his victory over the Vikings in Super Bowl IV. Nearby is Canton, long-time home of President William McKinley.
Garfield is named after President James A. Garfield, elected in 1880 and assassinated the following year.
Salem is one of many Ohio towns named by New England settlers for their Northeast homes.
Ohio/Pennsylvania State Line
Beaver Falls The great "Broadway" Joe Namath was born in this Pennsylvania town.
PITTSBURGH is sited between the Allegheny and Monongahela Rivers, which join here to form the Ohio River. George Washington first surveyed the site in 1753 after being sent to report on its military potential. Pittsburgh has 446 bridges, besting Venice Italy, and its steeply sloped topography can be traversed by 712 sets of stairs comprising more than 24,000 vertical ft. – greater than San Francisco, Portland and Cincinnati combined.
Long known as the "Steel City," a more appropriate name today might be the Renaissance City. The first such renaissance occurred following World War II when a $550 million program to cut pollution was put into effect. The 1970s and 1980s offered yet a second renaissance, shifting from a manufacturing economy to one based upon service and technology, and an urban transformation bringing about new office and shopping complexes. Today, not a single ton of steel is produced here or anywhere nearby.
Several "firsts" are attributable to Pittsburgh: synthetic insulin, the polio vaccine, the commercial nuclear power reactor and the allaluminum skyscraper. The University of Pittsburgh was first to use numbers on its athletic jerseys, and the Pittsburgh Steelers were the first to win four Super Bowls. Western Pennsylvania has produced many sports stars.
Braddock is a suburb of Pittsburgh named for General Edward Braddock, a British Army officer who died trying to wrest the area from the French in 1755. The battle was a key event beginning the French and Indian War. After Braddock's death, a young colonel named George Washington took command and led the retreat of British and Colonial forces west from this site to Fort Necessity. Washington ordered Braddock's body to be buried in the middle of the road to keep the enemy from knowing of his death.
We now pass the J. Edgar Thompson Works, built by steel magnate Andrew Carnegie. Next we see the former giant Duquesne Works steel mill, named after an early French fort. Legend has it that a fortune in gold and silver is buried here, the payroll of British soldiers, hidden during the French and Indian War.
CONNELLSVILLE If you are traveling eastbound, dawn may be breaking as we pass through this city. A former coal mining town, its newspaper, The Daily Courier, has been in continuous publication for over a century. Founded in 1793 by Zachariah Connell, the location made a natural stopping place for travelers to build rafts and float down the river.
Kaufmann's Run marks a small stream flowing down from the famous home, "Fallingwater," designed by Frank Lloyd Wright and commissioned by the Edgar Kaufmann Sr., owner of the famous department store in Pittsburgh.
Saddle Rock Curve Shortly after leaving Markleton, the train veers left and a large boulder, shaped like a western saddle, becomes visible on the right.
Atlantic Look left to see several square, cave-like holes cut into the rock face of the mountain – all that remains of an 18 th -century millstone quarry. The most recent census indicates that the town is home to 43 persons in 12 households containing nine families.
Garrett was named after a president of the B&O Railroad. When steam locomotives ruled the rails, this town was a "helper" station that dispatched engines to help trains up the steep grade.
Meyersdale To the right side of the train, look for Mount Davis, the highest point in Pennsylvania at 3,213 ft.
Sand Patch marks the summit of the Alleghenies and the Eastern Continental Divide. Rain falling on the west end of the tunnel flows to the Gulf of Mexico and rain falling at the east end of the tunnel flows to the Atlantic Ocean. This is a prime railfan location because of the 1.94% grade.
Pennsylvania/Maryland State Line
The state line doubles here as the famous Mason/Dixon Line. Known by most people as the dividing line between free and slave states before the Civil War, the line was actually surveyed between 1763 and 1767 to settle another dispute – which state owned which land. English astronomers Charles Mason and Jeremiah Dixon undertook the task to divide Pennsylvania, Maryland, Virginia and West Virginia (then a part of Virginia). It wasn't until 1863, during the early stages of the Civil War, that West Virginia joined the Union, at which point the line separated slavery from freedom. Railroad engineers who built this section of track followed the path of least resistance regardless of which state it led them through.
Cumberland Gap This natural gap in the mountains has provided people with East/West passage for centuries. On the east end is famous Lover's Leap. Legend holds than an Indian princess fell in love with a federal soldier; the couple wished to wed but the princess' father forbade it. In despair, they climbed to the top of a 1,000-ft. cliff of Wills Mountain (to the right) and leapt to their death.
Viaduct Junction This is the beginning of the most historic main-line track in America. The B&O was chartered in 1827 as the nation's first common carrier railroad. Finished in 1852, the line stretched from Baltimore to Wheeling, West Virginia.
CUMBERLAND was once known as the "Queen City of the Alleghenies" with its rolling hills, winding waterways and mountain views. Note street signs on the left marked "Queen City" precinct. Situated 655 ft. above sea level, it was once the second largest city in Maryland. Buildings with impressive spires create a unique skyline, and quaint houses dot the hillsides. The oldest existing building, the George Washington Headquarters, was built in the 1750s. Numerous early coal, canal and railroad barons lived on Washington Street in ornate mansions, several of which have been restored. Today, Cumberland is the commercial and railroad center of Western Maryland and a focal point of the region's growing tourist industry. Notable residents include actor William H. Macy, who was junior and senior class president at Allegheny High School.
Maryland/West Virginia State Line
Kesslers Bridge/Graham Tunnel When entering and exiting the 1,592foot tunnel, we are in West Virginia – but while traveling through it, we are in Maryland. West Virginians are prone to joke that you see the best part of Maryland inside the tunnel.
Hancock is a small community straddling the Potomac River, its south bank in West Virginia, its north bank in Maryland and its extreme northern edge in Pennsylvania.
MARTINSBURG station on the right, the red brick four-story building with two wooden porches, is the oldest working train station in the U.S., having been in continuous use for over 160 years. Built in 1847, it is the only structure in Martinsburg to survive the destruction of the Civil War, and is a designated a National Historic Landmark. The town and the railroad complex on the left changed hands many times during the conflict. From here on into Washington, these gently rolling hills and peaceful farmland were the haunts of both Confederate and Union armies. Campaigns into the Northern states often crossed the tracks – notably, the Confederate movements to Gettysburg, Antietam and Monocacy. At one point, the Confederates even stole the railroad itself. General Stonewall Jackson hijacked 14 engines and numerous cars loaded with supplies. Officers of the B&O Railroad were so impressed by the feat that they made the raid's commanding officer its master of transportation after the war. The B&O shops and roundhouse comprise another National Historic Landmark, significant for its architecture, the aforementioned theft and the role it played in the Great Railroad Strike of 1877 -- the first of its kind in the U.S. Today, the Internal Revenue Service facility here processes a large percentage of electronically-filed tax returns.
HARPERS FERRY, where Virginia, West Virginia and Maryland meet, as do the Potomac and Shenandoah Rivers, was called by Thomas Jefferson "perhaps one of the most stupendous scenes in nature." Originally a trading post, George Washington located a federal arsenal here in 1798, a decision that proved pivotal to events some 60 years later. The town became famous when, in 1859, abolitionist John Brown and his small band tried to seize the facility and touch off a slave revolt in the southern states. Colonel Robert E. Lee rushed federal troops to the scene on trains, the first time in history that a railroad was used for military purposes. The raid was soon ended and Brown hanged.
Its strategic location and the arsenal caused it to change hands 13 times during the Civil War. A small Union force destroyed the facility to prevent it from falling into Confederate hands. The arsenal had pioneered the use of interchangeable parts in firearms, invented by Captain John H. Hall. In 1944 most of the town became part of the
Harpers Ferry
National Park Service and is maintained as a National Historic Park; many of its old homes are on the National Register of Historic Places. We now cross the Potomac River over a V-shaped bridge plunging into a tunnel on the Maryland side riverbank. The C&O Canal on the right is 186 miles long, running between Georgetown in Washington, D.C. and Cumberland, MD, and is the longest national park in the U.S.
The Appalachian Trail Look for a white lock tender's house on the right and the ruins of a canal to mark the crossing of the longest continuous footpath in the world, the 2,050-mile-long Appalachian Trail.
Garrett Park was named for John B. Garrett, then-president of the B&O Railroad, settled in 1890 as a summer retreat for railroad executives. Note the many beautiful Victorian homes nestled in the wooded area to the right of the tracks. The town made headlines when, in 1890, The Washington Post reported that a local resident had installed indoor plumbing and a toilet in her home. Local outrage over this danger to health and decency standards forced the removal of these contraptions.
Point of Rocks A quaint old Victorian depot designed by Francis E. Baldwin, architect for the B&O Railroad, marks the spot where the rail line from Washington joins the original B&O main line from Baltimore. Commuter trains from Martinsburg serve this stop and Harpers Ferry to Washington, D.C., as these communities are home to federal and other workers in the city.
Germantown marks the unofficial beginning of Washington, D.C. suburbia. Once rolling farmlands, it is now full of homes.
ROCKVILLE is the second largest city in Maryland. After we pull out of the station, note a small white church on a hill, St. Mary's, final resting place of F. Scott Fitzgerald. The author had expressed his desire to be buried in the country!
WASHINGTON, D.C. On approach, look to your right for a glimpse of the blue and gold dome and bell tower of the largest Roman Catholic Church in the U.S., the Shrine of the Immaculate Conception. It is also the site of Catholic University.
Besides the White House and the U.S. Capitol, the city boasts monuments, museums and cultural attractions aplenty, including the Smithsonian Institution, Lincoln and Jefferson Memorials, Washington Monument, WWII Memorial, Vietnam Veterans Memorial, National Zoo, Kennedy Center and U.S. Botanic Garden. Washington Union Station was opened in 1907. Designed by Daniel Burnham, it was restored in 1988 and is today one of the biggest tourist attractions in the city, housing shops, restaurants, theatres, Washington Metro light rail and Amtrak.
Welcome to Washington! We hope that you have enjoyed this guide and your trip!
Welcome to Washington! We hope that you have enjoyed this guide and your trip!
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ONC Plans Data Sharing and Rx Guidance to Combat Opioid Over-Prescribing
April 14, 2016
The Office of the National Coordinator for Health IT and other stakeholders are looking to use health IT to help clamp down on opioid overprescribing through data sharing, electronic prescribing and prescription guidance as the industry looks to address the opioid epidemic.
Andy Gettinger, chief medical information officer at ONC, laid out the agency's opioid crisis agenda at a Health Leadership Council panel on ways to prevent opioid abuse on Wednesday (April 13).
ONC has three objectives, according to Gettinger: support data sharing to ensure appropriate prescribing; enhance prescription monitoring and health IT to support appropriate pain management; and improve physician education to decrease inappropriate opioid prescribing.
Gettinger said ONC is focusing on identifying patients more accurately for physicians, making sure there is comprehensive information about him or her, and ensuring there are no artificial barriers like state lines blocking information.
Seth Joseph, vice president of corporate strategy at Surescripts, said his health information network helps to provide medication information about patients to physicians. With a patient's consent, he said, Surescripts can use its pharmacy contacts to send a comprehensive medication history from the previous 12 months about a patient to a physician.
Joseph also touted electronic prescribing of controlled substances (EPCS) as a way to reduce illegal diversion. He said EPCS requires doctors to be identity proofed and digitally sign every controlled substance prescription, which creates a secure prescribing channel. Joseph said this will prevent stolen prescription pads or abusers changing a hand-written prescription.
Gettinger said ONC also supports EPCS as a way to reduce illegal opioid prescribing. He added that ONC supports integrating prescription drug monitoring programs with health IT to improve prescribing, but said there are also problems with these data bases not being updated in real time. PDMPs are state-run and used to track the prescribing and dispensing of controlled prescription drugs to patients.
BlueCross BlueShield of Tennessee is implementing industry quantity limit standards and procedures for new long-acting opioid prescriptions; adopting state and CDC guidance; and pushing education efforts to try to cut down on overprescribing in a state that, according to Andrea Willis, senior vice president and chief medical officer of BCBS Tennessee, has the second highest rate of opioid prescriptions per person.
Daniel Luce, national director of pharmacy affairs at Walgreens, said diversion can be prevented by taking extra, unused opioids out of the medicine cabinets and disposing of them in drug disposal kiosks. The kiosks will be in 500 stores in 39 states and Washington by the end of the year. But Luce said there are legislative and regulatory barriers in some states preventing these kiosks, including a law that defines unused or expired medication as hazardous waste.
Luce also said Walgreens will make naloxone--the opioid overdose reversal drug-available without a prescription and with instruction from the pharmacy on how to administer it in 35 states and Washington by the end of the year. Some states do require a prescription, however, and Luce said Walgreens will work with those remaining states.
GOP Rep. Frank Guinta (NH) said existing laws encourage over-prescribing due to reimbursement policies and specifically called out Medicare, though he did not elaborate on which policies might contribute to prescribing problems.
Guinta is happy the Senate passed the Comprehensive Addiction and Recovery Act (CARA) -- a bill that would award grants to provide more education and create a task force charged with making suggestions for pain management and pain medication prescribing -- but complained that it was passed with no funding. However, Guinta said he believes the bill could be funded through the House appropriations process. Guinta also promoted his own legislation -- the Stop the Overdose Problem Already Becoming a Universal Substance Epidemic Act of 2015 or the STOP ABUSE Act--and said there are several pieces of opioid abuse-related legislation that he would like to bring to the House floor as a package.
"This is about saving people's lives and giving them a second chance," Guinta said.
)
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Erin Raftery ([email protected] Related News | Congress | Rx Drugs
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Permian Basin Speleological Society
We are very sorry! There was not a November 1987 PBSS newsletter printed.
Thanks, Bill [email protected]
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__________________________________________________________________________________________________
This project includes a six-story mixed used residential over retail development with 24 residential units.
In addition, the developer will provide drainage improvements, utility improvements, landscaping and lighting.
________________________________________________________________________________________________
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Too Much, Too Soon?
The Dilemma of Foreign Aid to Myanmar/Burma
BY
Lex Rieffel and James W. Fox
FOR Nathan Associates Inc. Arlington, Virginia www.nathaninc.com
March 2013
Contents
Foreword
Nathan Associates commissioned this report in honor of Robert Nathan and his contributions to Burma's development planning in the 1950s and early 1960s. As reforms in Myanmar are moving quickly and donors are expanding or reactivating assistance programs, we also thought it would be useful to provide an overview of aid going to the country. The Paris Declaration and Busan Partnership are natural benchmarks for the activities of donors and the Government of Myanmar.
The authors point out that Robert Nathan's approach to Burma's economic development was one of the first of its kind. Nathan valued markets for their allocative efficiency. He believed that the country's development plan should make possible improved levels of living and welfare and human aspiration for all the people of Burma. In order that the improvements it seeks to effect shall be of a lasting character it must seek also to effect a balanced development – in which every productive sector (agriculture, forestry, mining, industry and trade) and every geographic region will participate and share.
Nathan advised increasing expenditures on health, education, and housing to raise labor productivity: "Purely from an economic viewpoint, a development program without these components would be warped and incomplete." He understood, however, that not everything could be done at once and emphasized first improving "productive methods" that would generate the higher income needed to increase expenditures for social programs. "Neither the claims of the future nor of the present should be neglected. A reasonable balance must be struck."
According to Nathan's assessment, the authorities faced four impediments to progress in 1953: (1) internal security; (2) a shortage of skilled labor; (3) government organization and administration; and (4) political will. These remain key challenges. However, the recent pace and direction of reform and the Government of Myanmar's new Framework for Economic and Social Reform provide grounds for new hope.
Words Robert Nathan wrote in 1953 seem just as appropriate today: "There is no reason why Burma, with its limited population in relation to its geographic area and its natural resources, not in time should enjoy one of the highest standards of living among the nations."
JOHN C. BEYER Nathan Associates Inc.
Acknowledgements
The authors, Lex Rieffel and James W. Fox, are grateful first of all to Nathan Associates for responding positively and generously to our proposal to undertake this assessment of foreign aid to Myanmar. They dug into the archives and found materials—including internal passports issued to Robert R. Nathan by U Nu's office—that helped us connect to people in Myanmar who had memories of the Pyidawtha Plan. They went to the trouble of digitizing and posting on their website the entire Pyidawtha Plan, including its fabulous drawings and illustrations.
The Brookings Institution supported our assessments of the Millennium Challenge Corporation in 2005 and 2008, and several Myanmar-related projects, before agreeing to host the launching of this assessment. The Brookings Institution opens doors in ways that few other policy research institutions can match.
Our sources are too many to name. Their candor in our interviews, we suspect, was only marginally encouraged by promising not to quote them directly. We are especially appreciative of our Myanmar sources, who interrupted arguably more important activities to offer their views on the foreign aid scene. We were much impressed by the eagerness of most donor agency and international NGO representatives to tell us their stories and answer our questions. Others in Washington D.C., Bangkok, and Yangon who reviewed the first draft of our report helped us immeasurably to understand the historical and global context and produce a factually accurate report. Prominent among these is David Steinberg, Distinguished Professor of Asian Studies, School of Foreign Service, Georgetown University, and the dean of Burma Studies in the United States. Others are Terry Myers, retired from USAID and now teaching at the National Defense University, and Sean Turnell, at the Faculty of Economics at Macquarie University in Australia.
Any errors or misrepresentations that remain are a reflection on us, not on any of our sources or our sponsor.
MARCH 30, 2012
… we must turn to national industrialization to transform [the] country into a developed, rich one with a lot of employment opportunities and high per capita income.
…we have to ensure [a] proper market economy designed to reduce the economic gap between the rich and the poor, and [the] development gap between urban and rural areas.
—President Thein Sein, Inaugural Address
JUNE 19, 2012
We started the second phase of reform strategy this year and it gives special focus on promoting the interest of the Union and the people while maintaining the development momentum we have gained in restoring national reconsolidation, State peace and stability, the rule of law, and security of public lives.
—President Thein Sein, "Second Wave" speech
DECEMBER 26, 2012
. . . both the government that is made up of the representatives elected by the citizens, and the civil servants who draw salaries from tax revenue and serve the public, must strive with determination to create the conditions to foster good governance and an efficient government. In addition, all political, economic, social and administrative reforms undertaken by the government must aim at achieving grassroots-based development. . .
The administrative reforms . . . in line with the people-based development strategy should transform government officials into public servants who truly serve the public. In order for this to happen, officials from the ward/village level to the union level must change their mindset, old behavior, and the way they used to perform in ways that will make the government more transparent, accountable, clean and effective.
—President Thein Sein, "Third Wave" speech
2
TOOMUCH, TOOSOON: THEDILEMMA OFFOREIGNAID TOMYANMAR/BURMA
Introduction
At the end of March 2011, Myanmar 1 began an ambitious political transition led by newly elected President Thein Sein. Bold moves in his first year included opening a dialogue with opposition leader Aung San Suu Kyi, suspending construction of the Chinese-fund Myitsone Dam, and abandoning a grossly overvalued exchange rate in favor of a market-determined rate. These moves unleashed a swarm of visitors seeking to support the transition and "make a difference": prime ministers, foreign ministers, heads of donor agencies and international NGOs, chief executives of multinational corporations, and many others.
The question posed in this report is whether the outpouring of foreign aid to Myanmar expected in the medium term (3-5 years) will be more of a blessing than a curse. The question may seem unfriendly or ideological on the surface, but merits being taken seriously because of the experience of a handful of countries over the past 10-15 years that have suffered from large and rapid build-ups of foreign aid.
As posed, however, the question is too stark. A gentler version is: what steps can be taken by aid donors and the Government of Myanmar to enhance the effectiveness of aid programs and projects, and mitigate possible adverse consequences?
Our report begins with a brief discussion of the dilemma of foreign aid to Myanmar: how it can be harmful despite the best intentions of the donors. We then present the policy implications of our findings, for the Government of Myanmar and for the donor community. The next two parts of the report describe the Government of Myanmar's national planning process and the steps it is taking to manage foreign aid. We then assess donor performance against the principles of the Paris Declaration and the Busan Partnership. The last two parts describe donor activity in general terms and then individually for Myanmar's major development partners.
1 In 1989, the military junta changed the country's name from Burma to Myanmar and this change was officially accepted by the United Nations. We generally use Burma when referring to the country before 1989 and Myanmar afterwards.
We have included four appendices with different audiences in mind. Appendix A describes the historical, political, and economic context for readers who are not familiar with this background. Appendix B elaborates on the standards of aid effectiveness contained in the Paris Declaration and Busan Partnership. Appendix C highlights lessons learned from other countries that have been challenged by strong donor interest. Appendix D recounts newly independent Burma's first experience with national development planning, featuring the work of the American economist Robert R. Nathan, and calls attention to a comparable Japansupported effort launched in 2001.
We should be clear about the limitations of our report on foreign aid for Myanmar. In particular, our knowledge of Myanmar is limited. Altogether we have spent less than six months inside the country over the past 45 years and we do not speak any of the local languages. Moreover, with our 50-year perspectives on economic development, we know that the world's leading experts are still unsure how to explain China's phenomenal progress or Argentina's lack of progress. These experts are even more unsure about how to adapt lessons from global experience to a country like Myanmar that is undertaking a sweeping reform effort with a legacy of complex internal conflicts and poverty-inducing governance.
1. The Issue
Approaching the second anniversary of the Thein Sein government, foreign aid is starting to pour into Myanmar. The flow is more in the form of scoping missions and project preparation missions than money, and it is possible that the money will come slowly because of implementation constraints within Myanmar or political setbacks. However, if the transition goes as smoothly in 2013 as it has in the first two years, the flow of foreign aid funding to Myanmar could exceed in relative terms the experience of any other country in the world.
If you don't have a Myanmar visa in your passport, you're a nobody.
Every respectable aid agency and international NGO in the world is planning to initiate or expand operations in Myanmar. The best and the brightest in these organizations are pushing
—Private investor, Bangkok, October 19, 2012
to be posted in Yangon or to manage the Myanmar account. We were told that in a recent survey of World Bank employees, 80 percent listed Myanmar as their first choice for an overseas posting. Administrators of the Princeton-in-Asia program have described a fellowship in Myanmar as "the hot ticket" for its current applicants.
Foreign aid is not always a blessing. Countries in recent years that appear to have received too much aid too soon include Cambodia, and Nepal. The record of foreign aid around the world is littered with cases of wasteful and even harmful projects and programs, as William Easterly and other scholars have documented. Specifically with regard to Myanmar, Adam McCarty and Kelly Currie have warned that the mistakes made elsewhere could be repeated in Myanmar, thereby slowing its transition to better governance and economic progress or even triggering a reversal.
Our assessment of foreign aid to Myanmar is greatly facilitated by having a handy template for this purpose. In 2005, the OECD convened representatives of donor agencies and developing countries to seek agreement on a set of principles to address a number of endemic problems that had emerged from years of development assistance in which the results achieved had been less than promised. The result was the Paris Declaration on Aid Effectiveness. Follow-up meetings were convened in 2008 in Accra, Ghana, and in 2011 in
Busan, South Korea. The Busan meeting is especially relevant to Myanmar. Our assessment is keyed to the five core principles in the Paris Declaration and the elaborations contained in the Busan Partnership for Effective Development Cooperation. (See Exhibit 1. More information about the Paris Declaration and the Busan Partnership is provided in Appendix B.)
Exhibit 1 The Paris Declaration on Aid Effectiveness
Forty-five years after the United Nations declared the 1960s to be the "development decade," and the expenditure of hundreds of billions of donor dollars of "development assistance," a view among experts emerged that foreign aid was failing to achieve its overarching objectives: global peace and prosperity. Many countries, particularly in Africa had "undeveloped," yielding conditions for ordinary people worse than in 1960. Furthermore, China, the world's largest poor country, had brought hundreds of millions of its citizens out of extreme poverty with little help from the foreign aid community.
Among numerous shortcomings of foreign aid programs identified, the most egregious were as follows:
* Independent approaches to programming, with each donor seeking to "make a difference" with its own projects, regardless of activities in the same area by other donors.
* Pressure to accelerate disbursement of committed funding, leading to a proliferation of "project implementation units" that bypassed government ministries. These units pulled competent government officials out of the public sector with better salaries, more computers, project-funded motor vehicles, etc., and then closed down when project funding ran out.
* A succession of global fads that saw donors prematurely reducing activities in old areas in order to be "with it" in new areas.
* Requirements for sourcing procurement from the home country. A typical result was graveyards of medical equipment in hospitals because of a lack of training or spare parts.
In 2005, representatives of multilateral development agencies, bilateral donor agencies, and developing countries reached agreement on "the Paris Declaration" for improving the delivery of aid. The declaration enshrined five principles:
1. Ownership. Developing countries set their own strategies for reducing poverty, building strong institutions, and tackling corruption.
2. Alignment. Donor agencies align behind these objectives and use local systems wherever feasible when implementing their programs.
3. Harmonization. Donor agencies coordinate, simplify procedures, and share information to avoid duplication, including joint planning missions and joint projects.
4. Results-oriented. Developing countries and donor agencies shift focus from inputs to development results and take steps to effectively measure actual results.
5. Mutual Accountability. Regular meetings between developing countries and donor agencies are held to assess results and correct deficiencies.
Follow-up meetings in Accra (Ghana) in 2008 and Busan (Korea) in 2011 further solidified these principles. In Busan, some newer donors, notably India and China, took the position that their status as poor countries allows them to avoid such constraints on their aid. The Busan Partnership also recognized the importance of the private sector in development, as well as stressing the benefits of open trade and investment regimes.
The general disillusionment with foreign aid sometimes obscures the remarkable progress of developing countries over the past 50 years, especially in reducing mortality and morbidity, but also in raising standards of living generally for billions of people. Foreign aid has certainly played some role in this progress, but the bigger role has been played by country leaders who have adopted pro-growth policies, by entrepreneurs in the private sector who have seized opportunities to create productive employment, and by individuals who have accepted the risks of abandoning traditional ways of life while adopting modern technologies and embracing globalization. Where foreign aid supported sound country efforts, it paid dividends. Where it supported countries pursuing inappropriate polices, as in much of Africa in the 1970s, it can only claim to have slowed the pace of un-development.
A fundamental problem with any attempt to assess foreign aid in a particular country is the absence of a consensus among experts on how to foster economic and political development in low-income or "backward" countries generally. For example, there is an ongoing debate between proponents of rapid reform ("shock therapy") and proponents of gradual reform in transition countries.
The case for rapid reform rests on seizing a political moment to overcome vested interests capable of blocking measures that empower people in ways that lead to broad-based economic progress. But these measures—as in the case of Russia—sometimes create new vested interests that are growth inhibiting. The case for gradual reform rests on avoiding disorder that would interrupt or reverse the transition. But social peace bought at the outset— as in the case of Hungary—can be offset by severe social tensions and reform setbacks a few years later.
President Thein Sein opted for rapid reform when he sketched out the vision for the country's future in his Inaugural Address. His government has astonished its own citizens as well as outside observers by implementing sweeping reforms at a rapid clip. It remains to be seen, however, whether this course was too ambitious, and whether the response of foreign donors and foreign investors will validate the choice or derail it.
The Thein Sein government is in effect presiding over a triple transition: social, political, and economic. The social transition seeks to resolve the conflict between the Burman majority and the ethnic minorities that has plagued the country since independence. This is Myanmar's existential challenge. Without a peace that makes the ethnic minorities want to be part of the country and to participate in building a modern state, it does not seem possible for Myanmar to escape the poverty of the past and achieve the improvement in living standards that other Asian countries have achieved over the past 50 years.
The political challenge is also daunting. The other East Asian countries benefitting from decades of rapid economic growth have been led by authoritarian political regimes, with democratic rule arriving after middle-income status was reached. The Thein Sein government is reversing this process by pursuing economic growth in a multiparty political system with
democratic values. The latest Southeast Asian country to make the transition from authoritarian to democratic rule—Indonesia in 1998—has yet to achieve pre-transition rates of economic growth and is struggling with some severe governance problems.
The economic transition, away from state-dominated socialism to a competitive market economy, should be the easiest because it started more than 20 years ago and because there is no visible opposition to this transition. There are, however, deep cultural attachments to socialist ideals and entrenched vested interests that make the near-term outcome uncertain.
Our assessment of foreign aid to Myanmar is impressionistic, not quantitative. Between 20 October 20 and November 3, 2012, we interviewed a cross-section of aid givers and aid receivers in Yangon and Naypyitaw. One of us also attended the First Myanmar Development Cooperation Forum on January 19-20 in Naypyitaw. Although we sampled only a small portion of a large universe, our interviews yielded ample evidence that the flow of foreign aid to Myanmar is likely to be greater than Myanmar's capacity to absorb it. The interviews also uncovered evidence of donor activities incompatible with the principles of aid effectiveness laid out in the Paris Declaration and the Busan Partnership.
A final introductory point is that foreign aid, as massive as it might become, will be dwarfed by flows of private capital to Myanmar. Aid from governments, both traditional donors like the United States and new donors like China and India, is constrained by budgets in a world where fiscal deficits are endemic. Globally, flows of private capital to developing countries began to exceed official flows in the 1980s and by the mid-1990s they accounted for more than 90 percent of the total. Today the world is even more awash in private capital. In other words, the choices made by the Government of Myanmar in managing the inflow of private
Foreign aid . . . will be dwarfed by flows of private capital.
capital in the years to come will have a bigger impact on the country's economic (and ultimately political) progress than the choices it makes with respect to foreign aid flows. This point is not intended to diminish the importance of foreign aid. Instead it is intended to highlight the contribution that foreign aid can make in helping the Government of Myanmar channel flows of private capital (foreign direct investment, remittances, etc.) toward productive activities.
The record of donor performance in working with private capital is not encouraging. A 2011 report for the OECD in the run-up to the Busan meeting on aid effectiveness took a patronizing attitude toward the private sector, giving more emphasis to how private companies could be more like donors than how donors could leverage the power of private enterprise to advance economic well-being in poor countries. The Naypyitaw Accord, adopted at the January 2013 donor conference, offers some hope that Myanmar's aid donors will be more helpful in this area.
2. Policy Implications
For the Government of Myanmar and Donors
We see eight overarching challenges that will have a bigger influence on Myanmar's future development than the amount and form of foreign aid it receives. The implication for the government is that Myanmar's transition will be jeopardized if it allows donor activities to divert its attention from addressing these challenges. The implication for donors is that their long-term objectives are more likely to be achieved if, at the outset, they create space for the government to deal effectively with these challenges and provide critical support when and where it is needed. The eight challenges are:
1. The peace process. Without peace, there can be no development. One complication is that some ethnic minorities committed to ceasefire agreements are opposing proposed "development" activities, such as improving roads and creating industrial zones, out of concern that they will infringe on the goal of regional autonomy by strengthening the position of the Burman majority.
2. The political system. The kind of checks-and-balances system created by the 2008 constitution has produced dysfunctional governments in other countries. Judging by the legislative record of 2011 and 2012, it may not be easy to avoid such an outcome in Myanmar. The controversy that led to the resignation of the Constitutional Tribunal in 2012 is an example of how difficult it may be to achieve the goal of good governance.
3. Macroeconomic policies. The Asian experience over the past 50 years highlights the benefits of macroeconomic discipline (low inflation, balanced budgets, an undervalued exchange rate). This kind of discipline can be hard to maintain in a multiparty political system where elected representatives tend to modify budget plans in directions that are inconsistent with fiscal soundness.
4. Private capital flows. The world is awash in private capital and it will pour into Myanmar at the first sign of high returns with moderate risk. We were told, for example, that the CP Group in Thailand could easily invest $500 million within a year or two. Opening the door to private capital too fast and too far could jeopardize the transition by upsetting vested interests, ignoring cultural sensitivities, or exacerbating corrupt behavior.
5. Resource extraction (including renewable resources like hydropower, palm oil, and rubber). There is a quadruple challenge here: (i) slowing down the rate of extraction to a sustainable pace; (ii) avoiding pressure on the exchange rate that makes nonresource exports uncompetitive; (iii) obtaining full value—for the country as a whole—of the resources being extracted, which will require renegotiating pre-2011 contracts; and (iv) investing the value in ways that will benefit future generations, such as a sovereign wealth fund.
6. Land grabbing. This is a socially explosive issue and sadly there are few good models elsewhere in the world for mitigating it. Possible strategies include imposing a special tax on large land holdings or reserving for traditional land users a residual interest in land acquired for development purposes.
7. Agriculture sector development. Seventy percent of Myanmar's population is rural and therefore dependent on agriculture. Economic progress in Myanmar is inconceivable, either in the short term or the long term, without policies and programs that raise rural incomes. So far, the few steps taken by the government in this area fall well short of what will be required to make the agriculture sector an engine of growth.
8. Education. A big part of the tragedy of Myanmar is how its legacy of educational excellence has been squandered. Smart policies and smart investments in the education sector today could yield higher returns in the long term than any combination of policies and investments in any other sector. Measures to encourage the return of Myanmar's talented diaspora could have a high impact in the short term.
Of course, there are strategically vital steps to be taken in many other areas such as power generation, transportation infrastructure, mobile telephones, internet access, and financial services. We do not dwell on these here because we see real progress occurring without additional efforts on the part of the government or the donors. A fundamental policy challenge in each area will be to provide adequate government regulation and avoid excessive direct or indirect subsidies.
For the Government of Myanmar
1. Policies are more important than plans. Planning is seductive because it gives governments a sense of control and progress. In the kind of transition Myanmar is undertaking, however, time spent by officials on long-term planning can be a diversion from the daily formulation and implementation of policies necessary to remove obstacles to development and enable the population to engage in more productive activities.
2. Say "No" more often. It is not wrong to be cynical and assume that all foreigners bringing money—aid donors as well as private investors—are more interested in advancing their own interests than helping Myanmar. By acknowledging the high opportunity cost of time spent to accommodate foreign visitors, officials can be more effective. One step taken
by other countries to mitigate the problem is to declare a "quiet period" during the annual budget preparation and approval process, a period when no aid delegations will be received by government officials. Another step is requiring advance approval for visiting delegations and adjusting their schedules to conform to the government's calendar for conferences and workshops.
3. Get the right people in place and worry less about institutions. Much has been said about the weakness of institutions in Myanmar. Experience elsewhere suggests that building strong institutions in a country starting where Myanmar did in 2011 takes a full generation at least. By contrast, selecting the right people today to be ministers, deputy ministers, and director generals can determine the near-term success or failure of the transition. Retaining under-performing officials can be especially harmful.
4. Require donors to undertake joint programs and projects. Myanmar's multidonor trust funds were created in large part to achieve the effectiveness called for in the Paris Declaration, yet there seems to be little pressure from the government on donors to allocate more of their aid to these funds and other joint activities. One step in this direction could be a policy of expecting donors to allocate a minimum share of their aid, perhaps 30 percent, to joint activities. Encouraging common practices, such as the per diem provided for in-country training, would also help to reduce competition among donors and "aid shopping" by ministries.
5. Keep donor coordination in its place. Donors may gain more from giving a high priority to aid coordination than the people of Myanmar. For the people, the benefits of foreign aid come primarily from good projects. The key step for getting good projects has little to do with donor coordination. It has everything to do with shaping individual projects to ensure that they will add value.
6. It's about the people, not the resources. How rapidly the government moves from a development strategy based on extracting the country's natural resources toward a strategy based on upgrading its human resources will be a major determinant of Myanmar's future. Most aid donors understand, at least in principle, the need for capacity building. They can also be important allies in promoting sustainable resource management through activities such as the Extractive Industries Transparency Initiative.
7. Coherence and consistency are important. One of the pitfalls in a quasi-democratic system is conflicting views among national leaders on key policy issues. The more policy coherence and consistency over time that the Myanmar government is able to achieve— across ministries, with the legislature, and with the opposition—the easier it will be to implement policies that catalyze productive investment and gain public support. (See Exhibit 2 on Aung San Suu Kyi's views on foreign aid.)
Exhibit 2
Aung San Suu Kyi and Foreign Aid
Aung San Suu Kyi's views on foreign aid are important both because of the special role she plays in the political life of Myanmar and because some major donors are particularly sensitive to her views on their activities.
Between 1990 and 2003, Daw Suu Kyi strongly opposed official assistance to the country in general. In January 2003, the NLD issued a statement reflecting her views that indicated some openness to foreign aid: "If foreign governments wish to grant aid, humanitarian assistance such as funding for AIDS prevention, it must meet certain criteria including transparency, accountability, and independent monitoring systems."
After Daw Suu Kyi's historic meeting with President Thein Sein in August 2011, her views began changing so that by the end of the year she was welcoming discussions between aid donors and the Thein Sein government and was meeting with high-level scoping missions.
Beyond a general openness to foreign aid, there is little in the public record on the current views of Daw Suu Kyi and the NLD about foreign aid, and what can be found is ambiguous. For example, at an ILO conference in Geneva in June 2012, she said: "I would like to call for aid that would strengthen the democratization process by prompting social and economic progress that is beneficial to political reform."
During her visit to DFID headquarters in London the same month, she said: "Aid that is given with the right intentions—in the right way—works. It must empower the people and promote the principles of a genuine democratic society." The Myanmar Times on November 26, 2012, quoted her as saying "[Foreign aid] doesn't need to strengthen the government but needs to strengthen the public. … the power of the government is very strong. If this is strengthened, democratic activities won't be free from mistakes."
For the Donor Community
1. Create space for Myanmar policymakers. Ministers from donor countries, business leaders, movie stars, and many others have been besieging their embassies and aid missions in Myanmar to arrange appointments with senior officials in the Myanmar government. A first step in creating space for Myanmar policymakers is to postpone visits and shorten them as much as possible. Another step is for embassies and missions to develop working relationships with officials at lower levels. This not only creates space at the top, it also helps to build capacity within the bureaucracy and for senior officials to become more comfortable with delegating authority. A related issue is the choice of locating aid missions in Yangon or Naypyitaw. (See Exhibit 3.)
2. Build capacity before implementing projects. In the rush to get started and show quick results, donors inevitably design and begin implementing projects before their Myanmar counterparts are ready to participate meaningfully in this process. It is not possible to train counterparts before the first wave of donor projects is launched. Now is the time, however, to start building capacity in counterpart ministries for the second wave of projects.
Exhibit 3
Yangon vs. Naypyitaw
Embassies and donor offices are naturally reluctant to move from bustling Yangon to the new capital in Naypyitaw, which has few attractions for foreigners and probably rates as one of the world's worst examples of urban planning. Moreover, the political opposition has not embraced Naypyitaw as the country's capital any more than it has embraced the 2008 Constitution or the change in the country's name from Burma to Myanmar.
of visitors and making it easier to avoid them altogether. Abandoning the capital now would be hard to justify on economic grounds as there are many ways to make it more livable and efficient over time.
For the government of Myanmar, encouraging embassies and donor offices to remain in Yangon could have the advantage of slowing the flow
DFID and AusAid opened a joint liaison office in Naypyitaw in January 2013, and other multilateral and bilateral donors are planning similar moves. It will be interesting to see how this trend develops. Arguably, locating in Naypyitaw is more compatible with the principle of country ownership and the goal of enhancing aid effectiveness.
3. Doing no harm is more important than following the Paris and Busan principles. A classic mistake made by donors is to offer policy advice and propose programs and projects before mastering the political dynamics and cultural constraints of the receiving country. A related mistake is believing that a policy, program, or project that worked well in one country will work well in others. It will take a miracle to avoid multiple mistakes of both kinds in Myanmar in the next 2-3 years. The risks of doing harm are especially great in the areas of peace building, strengthening democratic institutions, and promoting the rule of law. The role of donor aid in supporting Indonesia's transition to democratic rule after 1998 illustrates how far outcomes can diverge from intentions (see Exhibit C-1 in Appendix C).
4. Avoid burdening the government with institutional rivalries. One of the most disconcerting aspects of the aid business for developing countries is the constant criticism they hear from donors about the failures and missteps of other donors. Particularly acute is the infighting among U.N. agencies. A major effort in Vietnam to put all U.N. agencies "on the same page" had only modest results after several years. Each one was inclined to give priority to directions from its headquarters, just as bilateral donors pay more attention to their capitals than to in-country coordination. A certain amount of carping is inevitable, but the competition in Myanmar is so intense that country managers will have to make exceptional efforts to prevent longstanding rivalries from becoming a serious impediment to aid effectiveness.
5. Be tolerant of different approaches to foreign aid. Several Western donors expressed concerns about Asian donors rushing into Myanmar without regard to the complexities of the country or proper coordination with other donors. Little will be gained from making an issue of such differences at this stage. The Asian donors will make mistakes and the Western donors will make mistakes. It's the nature of the beast.
6. Be realistic. It is easy for donors to underestimate the existing capacity of the Myanmar government and its ability to learn quickly. It is equally easy to expect too much. Aid effectiveness in the near term will depend greatly on ability of donors to find capable counterparts in the government and manage expectations in their headquarters. In the aid business, it is always better to under-promise and over-perform. In actual practice, under pressure from their headquarters and their legislatures, country missions tend to act the opposite way.
7. Be more innovative. One close observer of aid to Myanmar in recent years lamented the extent to which donor programs represent business as usual. One of the advantages of giving aid to Myanmar today is starting with almost a clean slate, with relatively little baggage of past practices. As a result, unconventional approaches may have a greater chance of succeeding. One example is cash-on-delivery aid. (See Exhibit 4.)
Exhibit 4
Cash-on-Delivery Aid
Some proponents of aid effectiveness, notably the Center for Global Development (CGD), have argued that the complex requirements for financial management and traceability of funds that donors impose on partner countries are an obstacle to effective aid. Donors disburse against documented expenditures, not on-the-ground results. Such intrusive oversight is inconsistent with capacity building in host country institutions. Scarce human capital in ministries is used to track money instead of focusing on effective implementation of projects. Accountability is pitched to donors more than to the country's citizens.
The CGD's alternative, proposed in 2010 by Birdsall and Savedoff, moves around bureaucratic hurdles by simply paying a government for achieving a particular development result—providing water to rural communities or increasing literacy, for example. The payments can be calibrated in a number of ways, such as the average cost of achieving the same result through traditional aid mechanisms. DFID is the first donor agency to experiment with this approach. Three pilot projects are underway, the first being for education in Ethiopia. None has yet been completed.
The World Bank launched a new modality for grant assistance in January 2012—its first such initiative in more than two decades—that bears kinship to the CGD proposal. Called Program for Results, or PFR, it has produced five agreements in the first year of operation and Bank staff expects another 14 agreements by mid-2013. Two examples are in Nepal and Uruguay where a fixed amount of foreign exchange is being provided for completion of each small bridge constructed and for each mile of road built, respectively. When the specified work is finished and verified, often by an external agent, the local currency counterpart goes to the implementing ministry or agency, in effect reimbursing the costs of successful implementation.
The World Bank initiative falls short of Cash-onDelivery in several ways. For example, the initial guidelines set by the Bank's Executive Board are more limiting (size of project, exclusions) and intrusive (right to investigate possible malfeasance). However, such conditions may be relaxed in the future if experience with the initiative is sufficiently positive.
3. The National Planning Process in Myanmar
A first step in managing foreign aid and asserting country ownership is to put in place a respectable national planning process. Myanmar's first national plan was a two-year plan launched with independence in 1948. The country has had an unbroken succession of major and minor plans since then. (See Exhibit 5. A fuller description is provided in Appendix D.)
A Planning Commission chaired by the President was established in 2012 to guide the planning process for the current transition. It met in June, August, and December. At its December 26-27 meeting, it approved the draft Framework for Economic and Social Reforms (FESR, see below). The Ministry of National Planning and Economic Development (NPED) serves as the secretariat of the Planning Commission.
Three distinct but overlapping national development plans are relevant to foreign aid today. First, the operational plan for the Thein Sein government's first year was the "Fifth Five-Year Short-Term Plan" for the period FY2011/12 to FY2015/16, the last in a series of five-year plans initiated by the previous government. Annual plans to implement the first two years of this cycle were submitted to the legislature and were approved with some adjustments. In January 2013, the Thein Sein government submitted to the legislature its own plan for the FY2011/12 to FY 2015/16 period.
Second, a National Comprehensive Development Plan (NCDP) is being assembled by the Thein Sein government using a top down-bottom up approach. It will consist of a set of four five-year plans beginning with the new FY2011/12 to FY2015/16 plan. Broad goals are being set at the top and detailed plans (wish lists) are being developed by every township and by every ministry and agency of the government. Over the coming months, these plans will be merged into a coherent whole with a view to seeking the approval of the legislature in the second half of 2013.
An important input for the NCDP will be the Myanmar Comprehensive Development Vision (MCDV), an exercise being undertaken by the Economic Research Institute for ASEAN and East Asia (ERIA). The exercise was launched at the 3 rd Mekong-Japan Summit in November
2011 and is funded primarily by the Japan-ASEAN Integration Fund. It will involve as many as 100 sector and subsector studies and is noteworthy for two reasons. First, it seems to have escaped the attention of much of the donor community. Second, it sketches out a promising development strategy of "two-polar growth with border development and better connectivity" based on some of the latest theoretical analysis of economic development.
Exhibit 5 The Pyidawtha Plan and Subsequent National Development Plans
In August 1951, the Government of the Union of Burma entered into a contract with a leading American engineering firm, Knappen Tippets Abbett (KTA), to produce a "comprehensive, integrated program for the over-all development of the resources of Burma." Two other firms were engaged as partners in this project: a mining engineering firm and the economic consulting firm of Robert R. Nathan Associates. The program was delivered in August 1953 in two volumes exceeding 800 pages. The dollar costs of this undertaking were funded by the Technical Cooperation Administration (TCA), an early foreign aid agency of the U.S. government.
adopted by a developing country in the post-war period of decolonization, it was a model for others.
The program was heavily oriented toward infrastructure rehabilitation because of the extensive damage suffered during World War II. Much of the program, known in Myanmar as the "Pyidawtha Plan," was implemented during the 1950s and components of the program (specifically in the irrigation sector) are still being implemented. Partly because of his height, Robert R. Nathan was the most prominent personality involved in the Pyidawtha Plan. As one. of the first economic development plans
In 2000, a comparable effort was launched with Japanese funding. Known as the Myanmar Economic Structural Adjustment Program (MESAP), it was carried out by four joint working groups: fiscal and monetary policy, trade and industrial policy, information and communications technology, and agriculture and rural economy. Dozens of Japanese experts participated in these working groups. The completed program was delivered to the Government of Myanmar in March 2003, but the timing was unfortunate. As a result of the attack against Aung San Suu Kyi and her supporters at Depayin and the sacking of General Khin Nyunt the following year, virtually none of the MESAP was implemented. Moreover, its recommendations have never been publicly disclosed.
If the MESAP can be considered Pyidawtha Plan 2.0, then Pyidawtha Plan 3.0 is the National Comprehensive Development Plan for 2011-2031 due to be presented to the legislature in the second half of 2013.
The third national plan—and the most important for aid donors at the beginning of 2013—is the "Framework for Economic and Social Reforms" (FESR). Work on the FESR began in May 2012 at the Center for Economic and Social Development (CESD) of the Myanmar Development Resource Institute (MDRI) at the request of the Office of the President and in consultation with the NPED Ministry. Covering three years, it serves as a bridge to the National Comprehensive Development Plan and somewhat resembles the "poverty reduction strategy papers" that have been produced by low-income countries in all regions of the world as a guide for development assistance from multilateral and bilateral donors. The impetus for producing the FESR was the government's eagerness to convene a conference where donors
would pledge funding for specific projects and programs. An important feature is a set of "quick wins" identified in nine sectors. Examples are replacing the commercial tax with a general sales tax at a single rate, and replacing old gas turbine power plants with more efficient combined cycle plants.
At the monthly donor meeting hosted by the NPED Ministry in December 2012, the government announced that the first Myanmar Development Cooperation Forum would be held on January 19-20, 2013, in Naypyitaw. The draft FESR was approved by the Planning Commission at its December 26-27 meeting, and on December 28 it was sent to donors (in Burmese and English) "for your review and comments." The draft FESR was highly praised by the donors at the January forum. It will be finalized over the coming months, with input from Myanmar's development partners, and presented to the legislature for approval in mid2013.
The draft FESR provided to the donors in December included a section on "costing and financing of development programs" that was incomplete. It was also missing appendices on key policy actions, public expenditure and financing projections, and economic and social development targets. Nevertheless it is an impressive statement of the government's nearterm development strategy and priorities. As such, it represents a strong expression of country ownership and serves as a vehicle for ensuring that donor aid programs are aligned with the development programs of the Myanmar government. (See Exhibit 6.)
Myanmar's record of national planning over the past 60 years—and indeed the global record of national planning—offers little confidence that these new plans will succeed, but the political will of the Thein Sein government appears to surpass that of all previous governments. Moreover, the support received from the donor community may go beyond what other countries have obtained in terms of effectiveness. Ultimately, the success of Myanmar's transition will depend on mutually reinforcing reforms by the government and support by its development partners.
Exhibit 6 The Framework for Economic and Social Development
FROM THE EXECUTIVE SUMMARY
This revised draft of the FESR outlines policy priorities for the government in the next three years while identifying key parameters of the reform process that will allow Myanmar to become a modern, developed and democratic nation by 2030. . . . it provides a reform bridge linking the ongoing programs of the government to the National Comprehensive Development Plan, a 20-year longterm plan, which the government is drawing up in consultation with parliament . . . it can serve as a guide for building lasting cooperation with development partners as well as international bodies to obtain mutual benefits.
. . . maintaining a stable macroeconomic framework is the first order of reforms . . .
. . . the [ASEAN Economic Community-AEC] targets will be an important driver of further reforms.
The government will give highest priority to the drawing up of the necessary procedures as well as environmental and social guidelines for foreign investment in accordance with the new law . . .
Given a high percentage of agricultural contribution to GDP and employment in the country, agricultural growth is critical for inclusive development.
In order to ensure that the extraction of natural resources produces real benefits for people, the government is . . . committed to early adoption of the [Extractive Industries Transparency Initiative—EITI] .
The FESR . . . has set an ambitious target of reaching 80 percent [mobile phone] penetration by 2015.
There is no doubt as to the critical importance of major improvements in Myanmar's infrastructure . . .
FROM THE TEXT
42. Four areas of policy priorities:
* Sustained industrial development to catch up with global economies.
* Equitable sharing of resources, both budgetary and foreign aid, among regions and states.
* Effective implementation of people-centered development.
* Reliable and accurate gathering of statistical data.
46. Short and Long-term Goals
* Full implementation of ASEAN economic integration in accordance with its 2015 schedules.
* Achievement of the Millennium Development Goals by 2015.
* Graduation from least developed country status by 2020.
47. Targets
* An average annual GDP growth rate of 7.7%
* Industry share of GDP rising from 26% to 32%.
* Per capita GDP growth of between 30-40% from the base year.
4. Foreign Aid Management by the Government
For decades before the Paris Declaration on Aid Effectiveness was adopted in 2005, donor coordination was seen mostly from a donors' perspective, partly to avoid duplication of activities but also to enhance the impact of foreign aid by encouraging governments in recipient countries to adopt pro-growth, pro-poor policies and programs. The Paris Declaration reflected a major shift in emphasis toward seeing country ownership as the key element of aid effectiveness. At the heart of country ownership was the idea that the governments of partner countries (aid recipients) should be responsible for developing their own strategies for broad-based growth and poverty reduction. Of course, country strategies are articulated by governments, not by countries. Typically, governments claim to represent their countries even though new governments often start by repudiating the policies of their predecessors. At Busan, the participants sought to mitigate this problem by stressing the importance of private sector and civil society participation in designing national strategies. In this way, foreign aid would have the greatest beneficial impact when the strategies to which donors aligned their programs reflected the full range of each country's social interests.
Multilateral and bilateral donors to Myanmar have exhibited a keen interest in coordination. As early as 2009, the Partnership Group on Aid Effectiveness (PGAE) operated as a forum where donors could work toward shared objectives and principles. Chaired by DFID, it now includes 45 donor agencies, most of them from OECD countries. The PGAE has created several working groups, including one on governance. It caucuses in advance of the regular meetings with donors convened by the NPED Ministry in an effort to be more helpful by speaking with one voice. It will presumably remain at the center of the Development Partner Group being formed after the January 2013 forum (see below), with the chairmanship rotating between multilateral and bilateral donor agencies.
In February 2012, a smaller more informal group of donor agencies that came to be known as "the Valentine Group" met for the first time for the express purpose of enhancing coordination in keeping with the principles of the Paris Declaration. An AusAID non-paper prepared for the meeting highlighted the potential for destructive competition, and "negativesum games" among donors. The Valentine Group is no longer active but its members are at
the heart of donor efforts to make aid to Myanmar more effective than it has been in other countries in the past.
An informal donors' retreat, facilitated by the United Nations and JICA, was held on May 1516, 2012, in Mandalay. The retreat sought to produce "principles of effective cooperation in Myanmar anchored on the Global Partnership for Effective Development Cooperation from Busan." Twenty-one countries and organizations were represented, but not the Government of Myanmar. According to the "Facilitator's Summary," the participants took note of the Busan partnership and supported eight practical options to improve aid effectiveness (including avoiding recruitment of current civil servants into donor activities, and avoiding project proliferation and separate implementation structures). An effort by the U.N. Resident Coordinator to assert leadership in donor coordination was rebuffed by the bilateral donors.
In June 2012, the Thein Sein government took a major step to establish control over donor activities by establishing three linked aid coordination bodies. At the apex is the "Foreign Aid Management Central Committee" chaired by the President and composed of the two Vice Presidents and 26 cabinet members. Its primary mandate is to "manage for effectively allocating and utilizing foreign aid, grants and loans in addition to the state budget, and foreign and direct investment, through the national development plan and the reform strategy for the socio-economic development of the nation and its people." It meets on an ad hoc basis when important decisions need to be made. It is noteworthy that the mandate encompasses foreign investment.
The "Foreign Aid and Grant Management Working Committee" is chaired by U Soe Thane, who was the Minister of Industry when the committee was formed but several months later was elevated to become one of the four coordinating ministers in the Office of the President. The working committee is composed of 16 ministers and deputy ministers. Its primary mandate is to "manage the allocation of foreign aid and grants through discussions with international agencies, donor countries, and donors while submitting priority sector [plans] and priority area [plans] to the Central Committee after coordinating with the National Development Plan and Reform Strategy and with the National Economic and Social Advisory Council." In effect, the role of the working committee is to implement the policy guidance provided by the Central Committee.
The third coordination body, the National Economic and Social Advisory Council (NESAC) is composed of 18 prominent individuals drawn from government, the business community, and civil society. The Patron is retired Yangon Institute of Economics professor U Maw Than. The Chairman is retired Ministry of Agriculture official U Tin Htut Oo. The Secretary is Deputy Minister of NPED Dr. Set Aung. Other distinguished members include Dr. Kyaw Yin Hlaing (former professor at the City University of Hong Kong), U Thant Myint-U (noted author and historian), U Tin Maung Thann (President of Myanmar Egress), U Win Aung (President of the Union of Myanmar Federation of Chambers of Commerce and Industry), and U Than Lwin (Deputy Chairman of KBZ Bank). The primary mandate of the NESAC is to
"advise [on the formulation of] the National Development Plan and Reform Strategy, promotion of domestic and foreign investment, and foreign aid and grants."
The NESAC is an interesting body that has the potential of playing a pivotal role in Myanmar's economic development. It meets on an ad hoc basis and has formed several working groups, including one on foreign aid. So far, it has delivered its advice directly to President Thein Sein's office without any prior public deliberation or dissemination afterward. Its members work on a pro bono basis and overhead costs are being met by contributions from leading Myanmar businesses.
Beginning in November 2012, the Minister of National Planning and Economic Development began holding monthly meeting with donors to discuss urgent matters and plan future activities. As noted above, at the December 2012 meeting, the minister announced the convening of the First Myanmar Development Cooperation Forum on January 19-20, 2013, in Naypyitaw. It is significant that the government chose to lead the event. Other countries beginning to build relationships with aid donors have agreed to let the United Nations or the World Bank host donor coordination meetings.
Participants in the January 2013 forum included many Myanmar ministers, members of the legislature, senior officials from donor country capitals, high-level representatives from U.N. agencies and the leading multilateral financial institutions, country directors from the most active international NGOs, representatives of the business community, and the press. President Thein Sein delivered the opening speech, NPED Minister U Kan Zaw delivered the keynote address, Deputy NPED Minister U Set Aung presented an overview of the national planning process, MDRI-CESD Research Director U Zaw Oo presented the Framework for Economic and Social Reforms, and NESAC member Dr. Kyaw Yin Hlaing gave a presentation on promoting a culture of democracy and building national harmony. In twelve parallel sessions, ministry representatives rolled out proposals for donor assistance to their respective sectors.
The final act of the forum was the adoption by acclamation of the "Naypyitaw Accord for Effective Development Cooperation." Drafted in consultation with donor representatives and inspired by the Busan Partnership for Effective Development Cooperation, the Accord spells out commitments by the Myanmar government and by its development partners to take steps designed to ensure that foreign aid to Myanmar achieves a high degree of effectiveness. It is modeled on agreements negotiated by other countries in Asia and elsewhere with the donor community. It was reviewed by the NESAC and approved by the cabinet. (See Exhibit 7.) A key feature of the Accord is the formation of a joint Myanmar-donor working group to develop an action plan for implementing the Accord. The Foreign Economic Relations Department in the NPED Ministry is creating a Foreign Aid Information Management System to support the monitoring and evaluation process.
Exhibit 7
The Naypyitaw Accord for Effective Development Cooperation
"The Government of the Republic of the Union of Myanmar and its development partners agree to take concrete actions to make their cooperation more effective.
". . . the Accord has been informed by deliberations at the Fourth High Level Forum on Aid Effectiveness and takes forward the principles of ownership, focus on results, inclusive development partnerships, and transparency and accountability, embodied in the Busan Partnership for Effective Development Cooperation.
"The Government of the Republic of the Union of Myanmar commits to:
* Continue to deepen consultation on development priorities and plans.
* Focus on achieving national priorities.
* Enable effective decision making.
* Further develop coherent and efficient aid management systems.
* Strengthen public administration to enhance the transparency and effectiveness of government programs and foreign assistance.
"Development partners commit to:
* Take the unique local context in Myanmar as the starting point.
* Align development assistance with national priorities.
* Participate in and be guided by country-led coordination processes.
* Use conflict-sensitive and inclusive approaches to support peace and state building.
* Focus on maximizing development results for the people of Myanmar.
* Work with government to strengthen institutions, build capacity, reduce transaction costs and increase aid effectiveness.
"Performance Assessment. A joint Government of the Republic of the Union of Myanmar-Development Partner working group will be formed to prepare a performance … framework or action plan to guide implementation of this agreement. This framework will include a manageable number of key indicators of the standards and benchmarks that will be used to assess the extent to which its commitments are being kept. They will be reasonable, achievable, and monitorable."
To the immense credit of both the government and the donors, Myanmar's payment arrears to the World Bank, the Asian Development Bank, and bilateral creditors—estimated by the IMF to total $11 billion at the end of 2012—were cleared in a series of operations in late January 2013. Arrears to the World Bank and ADB of roughly $440 million and $520 million, respectively, were cleared through a refinancing facilitated by a bridge loan from the Japan Bank for International Cooperation (JBIC). The bulk of the remaining arrears were owed to Japan, which committed to carry out an exceptional cancellation and rescheduling of these obligations. Other bilateral official creditors reached agreement in the Paris Club on cancelling half of the arrears owed to them and rescheduling the remaining half on generous terms. These arrangements will be implemented in the context of a program of economic policies and institutional reforms during 2013 that was developed by the government in consultation with the International Monetary Fund.
Although the arrears clearance operations took place a few days after the Myanmar Development Cooperation Forum, they were understood by all to be imminent and they contributed materially to the positive atmosphere of the forum.
Finally, a brief word about the international NGOs. While they are not categorized as development partners in Myanmar, they were participants in the January 2013 forum. They have taken steps to organize themselves to engage in dialogue with the government, and the government is beginning to work with them collectively to align their activities with its national development plans and policies. International NGO working groups for specific sectors (e.g. health, education, microfinance) and regions (e.g., Rakhine state) have been formed and meet regularly. These groups include representatives from U.N. agencies, local civil society, and officials from government ministries.
Summing up, we give high marks to the Myanmar government for its national planning process and its management of foreign aid at this very early stage in the country's transition to democratic rule and economic liberalization. The government seems to have learned from the positive and negative experiences of other countries and designed approaches well tailored to Myanmar's own circumstances.
5. Donor Performance Against the Paris and Busan Standards
While we bring to this assessment almost 100 years of combined experience with foreign aid and developing countries, it is more impressionistic than robust by academic standards. In the time available, it has only been possible to skim the surface of a complex subject. Moreover, we are passing judgment at a very early stage, considering that aid to the Thein Sein government began less than two years ago. In addition, the facts on the ground are changing so rapidly that what is accurate and relevant at the beginning of 2013 may not be so by mid2013.
Myanmar's aid donors—or development partners—are doing best in the area of country ownership and their performance is mixed in the areas of alignment and harmonization. There was not enough evidence to assess performance in the areas of results-oriented aid and mutual accountability, because the aid effort we are focusing on began so recently.
Our concerns about donor performance are greatest in an area implicit in the Paris Declaration that perhaps should have been a first principle: do no harm. This concern was hammered home when the country representative of a leading donor bluntly stated in January 2013: "we will do damage."
Do No Harm
We describe in Appendix B how the Paris Declaration on Aid Effectiveness was a response to widespread frustration over the extent of global poverty and conflict after more than a hundred billion dollars of development assistance had been disbursed in the preceding 50 years. The frustration derived partly from examples of aid projects that had an adverse impact on the well being of the people ostensibly being helped, and partly from the substantial number of countries that appeared to be no better off after receiving large volumes of foreign aid over many years. This record suggests that a useful first principle in the foreign aid business, as in the medical profession, is to do no harm.
At this early stage in Myanmar's transition, the sheer number of aid-related visitors requesting meetings with government officials was compromising aid effectiveness more than any other factor. The requests were making it extremely difficult for officials to spend enough time on urgent matters of policy formulation and implementation.
Of course government officials could avoid this problem simply by deciding not to have so many meetings, but two factors militate against this. First, there is little cultural support for saying no to visitors. Second, after being a pariah state for so long it is very hard to say no to presidents and prime ministers, legislators, aid agency directors, CEOs of multinational corporations, Nobel Prize winners, movie stars, etc.
Specific comments we heard included:
* The government is being drowned.
* We are inundated with visitors.
* Myanmar is suffering from a "Visitor Curse."
* We spend a huge amount of time on airport arrivals and departures.
*
We meet with every Tom, Dick, and Harry.
* Now the elephants are coming [referring to Japan, the World Bank and USAID].
The problem is universally recognized but a strategy to mitigate it has yet to materialize. There is some evidence that the government is mentally prepared to start saying no to visitors, but there will be some embarrassing moments if this sentiment becomes stronger and visitors fail to get meetings they were expecting to have.
There is also a difference between visitors coming for a few days to "show the flag" or undertake scoping missions and visitors based locally who are trying to implement specific programs and projects. In the coming months, there may be fewer of the former but more of the latter as country offices are established and staffed up. It is also possible that bureaucratic obstacles in Myanmar, such as slow processing of visa applications, will mitigate the problem. Even if the flood of aid-related visitors recedes in 2013, an escalation in the number of investment- and business-related visitors may continue to impede sound and timely policy implementation.
One source of harm is throwing money at problems. Examples include the large EU commitment for funding projects in conflict areas and the World Bank's community-driven development project. Another source is when donor agencies select as partners the same prominent local NGOs to the point of overburdening them while neglecting smaller but competent NGOs.
A particularly troubling source of harm is the hiring by donor agencies of highly competent Myanmar people from the public sector and civil society, hollowing out the organizations they are leaving.
A general concern we heard is that donors fail to understand the local dynamics of Myanmar: how feudal and personalized the society is, or how choosing one local partner can close doors to working with other partners, for example. Or they initiate dialogues with the government without the basic knowledge of the country required for fruitful results. Part of the problem here is related to language, with both sides speaking English as a second language and consequently talking past each other. Another part of the problem is the ethnic divisions in the country, making it far easier for donors to work with the Burman majority than the dozens of ethnic minorities that need to feel they are being treated fairly in order to arrive at a durable peace agreement.
On the positive side, we did find donor offices that have taken steps to discourage visitors who jet in and jet out, and to cut back on the number of conferences and workshops being organized. In one of its statements at the January 2013 donor forum, the EU representative said: ". . . as we plan and scale up our support in the future, we will do so in a way that supports peace and state-building and 'does no harm'. We encourage other development partners to follow suit."
As we surveyed the range of donor activities, the two that stand out for being most certain to do no harm are funding education abroad and facilitating the return of the Myanmar diaspora. Sadly, these do not appear to be high priorities for most donors, the exceptions being Japan and Singapore. One appealing proposal from a local business executive was to create a "brain gain campus" in Yangon: a cluster where highly skilled diaspora members on six-month or one-year fellowships could work together to develop start-up companies or find attractive positions, thereby overcoming a major hurdle of resettlement.
Principle 1: Host-country ownership
Given the starting point for the Thein Sein government in March 2011, we were impressed by the progress it has made in asserting ownership of its development agenda. This progress is reflected both in the work undertaken to produce a set of national plans to be implemented with the support of donors and the arrangements it has made to engage donor agencies in a principled dialogue.
We were also assured by all of the donor representatives we met that they believe in country ownership and are being diligent in respecting this Paris principle. Nevertheless, we came across two challenges to country ownership, both of which illustrate how donor resistance to an approach preferred by the government can lead to better aid effectiveness.
One challenge arose in connection with the nature and timing of the country's first major donor conference. The government wanted to have one sooner rather than later and to include pledging on the agenda. Sharply different reactions came from the U.N. agencies and
the bilateral donors, with the latter prevailing in persuading the government to convene the conference at a later date and to put off any form of pledging.
The other challenge arose from the government's inclination to present the donors with a list of projects to be funded, while the donors wanted to begin with a dialogue on sector objectives and strategies.
Principle 2: Alignment with the host country's objectives
A Myanmar official involved in the planning process said to us directly: "donor plans are not aligned with ours." A foreign expert providing policy advice to the government said: "some of the biggest donors just want to 'do it their way'."
We saw a gap between the rhetoric of country ownership and the day-to-day business of starting up donor programs designed to make a difference. To be fair, however, until the draft Framework for Economic and Social Reforms was provided to the donors in December 2012, it was not easy for donors to be sure of the government's development plans and priorities. Furthermore, it is not easy in less than two years to build trust and develop a dialogue with the government to the point required to achieve a high degree of alignment.
Among the examples of non-alignment mentioned, two stand out:
* The World Bank's Community-Driven Development project was criticized for having been rushed to a conclusion, under pressure from both sides for different reasons. The preparation of the project involved less civil society participation and less transparency than both the government and the World Bank claim to be their objectives, although the design of the project includes a high degree of participation and transparency in the process of being implemented.
* New Zealand decided that almost 85 percent of its aid to Myanmar over the next five years would be allocated to upgrading dairy farming even though this has a low priority in the government's plans.
The point is not that these are bad projects. There are compelling arguments for going ahead in each case. Instead the point is to illustrate how common it is for donor activities to be driven by donor interests and constraints rather than Myanmar's needs and current opportunities. An example of a potentially high-impact activity being neglected is described in Exhibit 8.
A more fundamental alignment issue is how resource extraction by foreign investors relates to the aid programs of their home countries. A key premise of our assessment is that Myanmar's natural resources are being extracted at an unsustainable pace and in ways that divert value from the country as a whole in favor of foreign operating companies or powerful interest groups in the country. Accordingly, donor activities that help the government manage
resource extraction more sensibly can be high-value activities. Happily, the U.K., Norway, and the World Bank are all working with the government to help it reach the goal of participating in the Extractive Industries Transparency Initiative (EITI). Some other countries seem more inclined to help their companies obtain natural resource concessions on favorable terms.
Exhibit 8
Economics for Translators
Language is a more important issue in Myanmar than donor agencies seem to realize. Donor experts generally meet with Myanmar counterparts who converse easily in English and leave feeling there has been a high degree of mutual understanding. Experience on the ground, however, shows it is not uncommon that as much as 80 percent of such conversations is perceived differently by the Myanmar and foreign participants. Moreover, most short-term visitors do not have opportunities to see how weak English language skills are below the small number of Myanmar counterparts who engage on a daily basis with foreigners.
The benefits of improving English language training are apparent to all of the experienced donor agencies, and plenty of assistance in this area is likely to materialize in the short term. Two specific kinds of English language training, however, deserve more attention than they are getting. One is simultaneous interpretation, especially for workshops and conferences. Enough hardware for this has been ordered, it appears, but a severe shortage of good interpreters will exist in 2013 unless training is stepped up quickly.
equivalents in Burmese. A striking example is that the Burmese word for "economics" is the same as the Burmese word for "business." It is also impossible to translate properly when the translators are unfamiliar with the basic principles of economics.
The U.S.-funded Fulbright School in Ho Chi Minh City solved this problem in Vietnam 20 years ago when it created a course on "economics for translators." It took several years to achieve consensus on most Vietnamese language equivalents, but within ten years the vocabulary developed for the Fulbright School curriculum was being used throughout the country by government officials, businesses, the media, and other important groups. The benefits of initiating a similar course in Myanmar must be at least as great as they have been in Vietnam.
The bigger challenge is training translators and interpreters to find appropriate Burmese language words for economic concepts in English. Most policyrelevant concepts do not have universally accepted
Some Myanmar officials have discounted the importance of such an initiative on the grounds that English is being taught in schools from the primary level up. The general skill level, however, will remain low for many years and the great majority of the population will be conversing about economic matters in Burmese. Having a common economics vocabulary in Burmese should make it easier for the government to build public understanding and support for its economic policies.
A politically sensitive issue related to alignment is the assistance that some donor countries, notably the United States, still provide to "pro-democracy" groups opposed to the Thein Sein government and operating outside of Myanmar (mostly in Thailand). Until there is
overwhelming evidence that human rights abuses by the government have stopped and democratic rule has been consolidated, this form of assistance will continue.
A final issue related to alignment is how Western aid differs from Asian aid. The pattern we see is that the Asian donors (e.g., the ADB, China, Japan, Korea) are inclined to move quickly and opportunistically and with few conditions. The Western donors (e.g., the World Bank, the United States, the United Kingdom) are inclined to proceed at a measured pace within a clear framework of objectives and priorities, and with a number of laudable conditions. Asian donors also stress mutual benefit while Western donors stress the benefits being conferred on the recipient countries. It could be argued that the approach of the Asian donors is more aligned with Myanmar's interests, but perhaps only in the short-term. The short-term/longterm trade off is not an easy one to make.
Principle 3: Harmonization among donors
Foreign and Myanmar participants in aid activities felt there was a lack of harmonization generally and cited some specific examples of disharmony. In the words of an international NGO leader: "there is no culture of donor coordination here."
Competition among donors was generally seen to be at a high level, leading to some duplication of effort. Terms used to describe this behavior were "unfortunate commonality" and "crowding in." Overconcentration was a concern not only with respect to certain sectors but also in geographic regions. We even heard a reference to competition between agencies from the same donor country.
Specific examples cited at the strategy level were disagreements between the IMF and the World Bank, between U.N. agencies, and between the UNDP and bilateral donors. Such disagreements come to the attention of host-country policymakers and tend to be addressed in due course. Probably more damaging is donor competition at the lower levels. With more on-the-ground interviewing of donor agency experts, we would surely have come across more examples. Common failings in other countries have included getting a flawed program approved by a ministry because of preferential access; poaching staff from other donors; hiding flaws in a project from the rest of the donor community; and treating access to or knowledge gained from Myanmar policymakers as privileged information not to be shared with other donors.
One small example of poor donor harmonization was a joint donor plan to organize a trip to Vietnam in mid-2012 for senior Myanmar officials. On the eve of finalizing arrangements for the trip, one of the donors surprised the others by announcing it had just arranged for senior Vietnamese officials to visit Myanmar within the next few days.
To be fair, we did see plenty of efforts by donors to avoid duplication and strengthen cooperation among themselves. Still, aid professionals generally do not get promoted in their organizations for being good cooperators. They advance by responding to the headquarters agenda, by showing that their organization is doing something that makes a difference, and by speeding up disbursement of resources under their control.
The one area where harmonization is strong is the operation of the multidonor trust funds. For example, DFID has allocated 75 percent of its recent funding to these trust funds. Harmonization would improve if an increasing share of total donor aid were allocated to these funds. The more likely trend is that the share will decline as multilateral and bilateral programs settle into comfortable grooves.
Principle 4: Results-oriented aid
It is far too early to measure results from the donor programs initiated with the Thein Sein government. The Naypyitaw Accord, however, commits the government and the donors to establishing benchmarks and introducing procedures for measuring results in a meaningful way.
Principle 5: Mutual accountability
The steps taken by the government during the past year to convene regular meetings with multilateral and bilateral donors give us confidence that mutual accountability will be aboveaverage as long as Myanmar's transition has no major setbacks. In the words of the FESR:
The essence of partnership is mutual accountability and this should be the case with partnerships organized around FESR's development objectives. . . . [Donors] agree to work within the public resource framework channeling disbursements through the budget and not creating parallel implementation units or systems. In return, the government commits to implementing FESR in a transparent and accountable manner with regular monitoring of results.
The Naypyitaw Accord reinforces these sentiments and includes a commitment by the government to "create one framework to monitor government and development partner aid effectiveness performance."
Nevertheless, it is not easy to find another country where the principle of mutual accountability has had a measurable impact on donor and government performance. The lack of clear agendas covering similar time periods (program years for donors often differ from those of their partner countries) is just one factor that tends to make discussions vague and unproductive. Self-criticism is not part of the culture of foreign aid.
The Busan Elements
The elaborations of the Paris Declaration that emerged from the Busan meeting in 2011 have particular relevance to Myanmar because of the important role of Asian donors. Three elements of the Busan Partnership for Effective Development Cooperation are reflected in the Naypyitaw Accord: support for South-South cooperation, dialogue with the private sector, and engagement of the whole of society. These are all useful steps that can contribute to aid effectiveness in Myanmar.
Overall Assessment
We give high marks to Myanmar's aid donors for their rhetoric on aid effectiveness. For example, at the January 2013 forum, the AusAID representative pledged to do all it could to reduce the burden on the government of aid administration, the U.S. representative stressed the importance of donor cooperation to avoid overwhelming the government, and the Swiss representative warned against overburdening the government with too many meetings. At the same time, we found evidence of practices that have under-
If you don't speak Burmese, you don't know what's going on in Myanmar, and you cannot know. And I don't speak Burmese.
—Lex Rieffel, normally before offering his views on Myanmar mined aid effectiveness in other countries. It remains to be seen how far the donors go in matching their actions to their rhetoric.
Two factors may help donors do better in Myanmar. One is the awareness of the Paris Declaration and the Busan Partnership among Myanmar's government officials. The other is Myanmar's high visibility, largely linked to the figure of Aung San Suu Kyi. Because of this visibility, any perceived failures of foreign aid in Myanmar could have an adverse impact on donor operations globally. A success, by contrast, could be the best news for foreign aid since the transitions in East Europe and the Former Soviet Union two decades ago. The open question is whether Myanmar's broad policy objectives will prevail over the day-to-day political and institutional pressures bearing on the donors.
Our assessment has focused on the main multilateral and bilateral donors. While we have noted the engagement of a large number of international NGOs and other kinds of donors, we did not discuss their role with enough government officials or interview enough managers of these other categories of donors to reach any conclusions about alignment, harmonization, and the other principles of aid effectiveness. This could be a significant shortcoming of our assessment because some of these other donors "punch above their weight" and all of them
together may have as much of an impact on Myanmar's development (political, economic, social) as some of the largest official donors. For the moment, the government is managing these miscellaneous donors in a decentralized manner, mostly by means of memoranda of understanding with individual ministries. Other countries have promoted alignment and harmonization with these donors through special sessions linked to periodic donor forums. For now, the decentralized approach looks sensible. Two or three years down the road, the benefits of aid from the other donors might be enhanced by bringing them more formally into the planning and evaluation process.
6. The Main Forms of Foreign Aid to Myanmar
We have adopted a broad definition of foreign aid because of the proliferation of forms beyond the official multilateral and bilateral agencies over the past 20 years. We group the forms into five categories: multidonor trust funds, multilateral agencies, bilateral agencies, international NGOs, and other. Snapshots of the major programs are provided in the next and last section of our report.
Multidonor Trust Funds
Four multidonor trust funds have been formed in Myanmar, three of which were operating at the beginning of 2013. This form of foreign aid is inherently the most effective because it eliminates the friction associated with the different policies and procedures of individual donors. Some concerns exist about the effectiveness of the multidonor trust funds in Myanmar, however.
Myanmar's oldest multidonor trust fund is the "3 Diseases Fund." It was established in 2006 following the withdrawal of the Global Fund the year before for political reasons, and it stopped funding new projects after June 2012. Focused on reducing the burden of HIV/AIDS, tuberculosis, and malaria, it was supported by six bilateral donors plus the European Commission. Together they contributed roughly $140 million.
The 3 Diseases Fund was succeeded at the end of 2012 by the "3MDG (Three Millennium Development Goals) Fund," reflecting the return of the Global Fund to Myanmar as well as a desire to demonstrate quick and substantial support for the reforms being undertaken by the Thein Sein government. It focuses on the same three diseases but is expanding the scope of activity to include maternal and child health. It is supported by the same donors, who together intend to contribute roughly $300 million in the first four years.
The "Multi-Donor Education Phase II Fund," focusing on primary school education, builds on a Phase I fund. It is supported by four bilateral donors, the European Union, and UNICEF. Together, they intend to contribute roughly $65 million over four years (2012-2016).
The "Livelihoods and Food Security Trust Fund (LIFT)" was formed in 2009 with the aim of helping Myanmar reach Millennium Development Goal One—eradicating extreme poverty by 2015—by increasing food availability, income generation opportunities, and food use for 2 million target beneficiaries. This 7-year fund was supported initially by seven bilateral donors and the European Union. Together they intend to contribute at least $170 million. In late 2012, USAID and the French aid agency announced decisions to participate in the LIFT fund.
One effectiveness issue related to these funds is the extent to which their operations are integrated with Myanmar's government systems or are working through separate systems. In the past, the norm was to work outside the government with international and local NGOs. Steps are being taken now to operate through government channels as confidence in the government's financial management grows.
A particularly contentious issue related to the multidonor trust funds is how they compete with the UNDP program for bilateral donor funding. As a result, some U.N. agencies have discouraged the establishment and expansion of these funds. The Myanmar government finds the controversy unhelpful.
In terms of aid effectiveness, the arguments for establishing additional multidonor trust funds and getting more donor agencies to participate in them are compelling. In particular, they are well aligned with the government's development priorities. They are also in the best position to scale up support for some of the quick wins spelled out in the Framework for Economic and Social Reforms.
Multilateral Aid Agencies
The United Nations has been operating continuously in Myanmar since 1948. Represented today by the UNDP and more than a dozen specialized agencies, it has been at the center of foreign aid to Myanmar for the past 40 years. In 2011, the U.N. agencies as a group were the country's largest aid donor, providing about $150 million, all in the form of grants. Because of their experienced Myanmar staff and close working relationships with government ministries, the U.N. agencies have done the most capacity building in Myanmar over the past two decades.
It is difficult to characterize the U.N. role in Myanmar today because it has a tangled mix of positive and negative features. As a consequence of its political nature, U.N. expertise is spotty because it is not always merit-based. Furthermore, its implementation procedures are among the most burdensome in the donor community. At the same time, when directed by outstanding administrators, the country operations of individual U.N. agencies can have a powerful and positive impact in their respective sectors. More generally, the U.N. country team is under strong pressure from the New York headquarters to assert leadership in donor
coordination. This pressure creates tensions with bilateral donors and complications for the Government of Myanmar.
In the years ahead, the technical assistance and financing activities of the World Bank Group and the Asian Development Bank in Myanmar stand a good chance of outpacing the activities of the U.N. agencies as a group. Both of the multilateral development banks suspended operations in Myanmar after 1988 when the anti-democratic and anti-human rights actions of the military regime became intolerable. This suspension deprived the country of the highquality, analytical work on major macroeconomic and sectoral issues normally carried out by these two agencies and relied on by the rest of the donor community. The absence of this analytical underpinning was a major handicap for donors seeking to respond quickly and effectively to the improved policy environment created by the Thein Sein government.
In anticipation of the arrangements to clear Myanmar's arrears that were carried out in late January 2013, both multilateral development banks began in 2012 to prepare for the resumption of normal grant and loan operations. A Public Expenditure and Financial Accountability Assessment (PEFA) and a Public Expenditure Review (PER) being undertaken by the World Bank are particularly important because they are key steps toward channeling foreign aid through the Myanmar government's own systems. Ten preliminary sector assessments completed by the ADB in 2012 are useful guides for other donors in designing effective aid programs.
The World Bank and the ADB have both developed interim strategies for the next 16-24 months, pending work in collaboration with the government on longer-term strategies. (See Exhibit 9.) Their broad agendas have the potential for overlap and conflict, but an encouraging step that may mitigate this problem was agreeing to co-locate their country offices in Yangon.
Bilateral Aid Agencies
A compilation of donor programs in September 2012 by the Partnership Group for Aid Effectiveness listed 25 bilateral donors operating in Myanmar, including non-OECD donors
China, India, Thailand, and Singapore. Some, like Norway, had been interacting with the government well before the change in government in 2011. Most of these donors had programs emphasizing humanitarian assistance to victims of disasters, poor
People rushed in here believing they could and would Make A Difference. I call it the MAD Disease.
—Australian economist in Jakarta, personal interview, September 2012
communities, and ethnic minorities. They were at pains to prevent any funding from flowing to or through the Government of Myanmar.
After the inauguration of the Thein Sein government in March 2011, especially after Daw Suu Kyi became a member of the country's legislature in April 2012, the government's relationship with donors was transformed. Working through the Government of Myanmar was no longer off-limits. Senior officials from donor countries began arriving at a rapid pace to meet with Myanmar's new ministers and seek ways for their country's aid program to "make a difference" in Myanmar' political and economic transition.
Exhibit 9 Interim Strategies of the World Bank and the Asian Development Bank
WORLD BANK INTERIM STRATEGY, NOVEMBER 2012–JUNE 2014
The World Bank's interim strategy for Myanmar, approved by its Executive Board on 1 November 2012, rests on three pillars:
long associated with the World Bank. The Bank proposes only limited involvement in the health and education sectors, where other donors are strongly committed.
Rebuilding and Transforming Institutions. This pillar deals with analytical and technical issues, including a Public Expenditure and Financial Accountability Assessment (PEFA), a review of public expenditures (PER), and policy advice on macroeconomics and public sector management.
Building Confidence. This pillar aims to support the peace process in ethnic minority areas through community-driven development programs, to promote dialogue among civil society, local governments, and the national government, and to focus on activities that have a quick and tangible impact on communities across a range of sectors.
ASIAN DEVELOPMENT BANK INTERIM STRATEGY, OCTOBER 2012–DECEMBER 2014
The ADB's interim strategy, approved by its Executive Board on 26 October 2012, also rests on three pillars:
Human and institutional capacity. Grants for capacity building and institutional support to a wide range of ministries, as well as policy advice.
Promoting an enabling economic environment for growth. Policy-based loan and technical assistance will help to sequence and implement reforms in macroeconomic policy, trade, and investment.
Preparing for the road ahead. This pillar largely consists of the type of analytical and diagnostic work
Increased access and connectivity to markets. This includes grants for community-based rural initiatives, road connectivity with neighboring countries, and increasing energy supplies.
Donors establishing new offices or expanding existing ones immediately faced serious logistical and staffing problems. In particular, they needed to find Burmese-speaking local staff with sufficient administrative or technical expertise, not easy to find because of the decades-long neglect of the country's education system and the flight of many of the best and brightest. Similarly, Yangon's current real estate bubble made decent offices and staff housing expensive and hard to find.
The bilateral donors that have been the most active in promoting donor coordination and aid effectiveness are the U.K.'s DFID, Australia's AusAID, and the European Union.
A growing division of responsibilities among the donors is visible. For example, AusAID is Myanmar's lead donor in the education sector, partnered with UNICEF. DFID is the lead donor in the agriculture sector, partnered with FAO. The EU is the lead donor in the health sector, partnered with WHO. Another Western donor that merits being singled out is Norway, which has been working quickly and flexibly to assist the government in dealing with priority policy issues, with special attention to peace building. An example of this responsiveness is described in Exhibit 10.
Exhibit 10 Policy Advice from Harvard's Ash Institute
The Ash Center for Democratic Governance and Innovation at Harvard University's John F. Kennedy School of Government is carrying out a series of technical assistance missions funded by Norway. It stands out among other aid activities for having a high policy impact at a relatively low cost.
woman and her American husband who both earned master's degrees from Harvard's Kennedy School in 1990.
The high impact comes in large part from the role played by a Myanmar-based NGO, which drafts the terms of reference for each mission. This NGO, Proximity Designs, originated in 2004 as the country office of an American NGO promoting appropriate technology for the agriculture sector in a small number of countries. The founders are a Burmese
Building on their Harvard connections and excellent working relationships with Myanmar's government officials, they arranged a series of missions by Harvard experts and others to focus on policy issues. The first mission in January 2009, focused on the agriculture sector and was supported by Norway and the United Kingdom. Three missions in 2012 have yielded five published reports with important policy recommendations in areas ranging from electric power to industrial policy to urban development.
While the Western donors are explicitly and formally committed to respecting the Paris principles, Asian donors are marching to different drummers. Japan has been Myanmar's biggest source of foreign aid historically. After 2003, Japan sharply scaled back its aid and aligned itself with the United States and other Western donors imposing sanctions against Myanmar's military regime. In 2011, anticipating the lifting and suspension of sanctions, Japan began taking steps to ramp up its aid to Myanmar. Following the U.S. decision in early 2012 to suspend most of its sanctions, Japan quickly established itself as Myanmar's most generous donor (see the description of Japan's aid in the next chapter's section on bilateral aid).
China does not consider itself to be an aid donor, but it emerged in the early 2000s as Myanmar's major source of aid through a wide range of non-transparent activities that included contributions to the new capital in Naypyitaw. China also displaced Thailand in 2010 as Myanmar's leading source of foreign investment, highlighted by the construction of
dual gas and oil pipelines from the Indian Ocean port of Kyaukphyu to Kunming, the capital of Yunnan Province.
India has a deep historic relationship with Myanmar that originates in their common origin as British colonies. The emotional ties became stronger in the 1950s when General Aung San's widow, the mother of Aung San Suu Kyi, was posted to New Delhi as Burma's ambassador to India. As a democratic country, India's relations with Myanmar soured when Aung San Suu Kyi was placed under house arrest and the military junta refused to accept her party's landslide victory in the 1990 election. By the mid-1990s, however, the Indian government took steps to improve relations with Myanmar as part of its "Look East" policy. While the Indian government aspires to be a friend of Myanmar on par with China, it has never come close to this goal because of financing constraints, the physical barrier of the mountains separating the two countries, the political barrier of an uncooperative Bangladesh, and internal resistance from democracy advocates.
Korea has emerged in the past five years as one of Myanmar's major donors, partly motivated by its leading role in the global debate on aid effectiveness—reflected notably in the Busan Partnership, but also related to commercial interests. Equally significant is the technical assistance extended to Myanmar in recent years by Singapore and a range of ASEAN and other regional programs. For example, Singapore in the past ten years has provided training to more than 8,700 of Myanmar's government officials. Thailand, Malaysia, and Indonesia have also been quietly supporting needs-based capacity building in Myanmar.
International NGOs
The group of international NGOs active in Myanmar is hard to describe for three reasons: it is large, it engages in a vast range of activities, and many of its members are vehicles for implementing projects funded by multilateral and bilateral aid agencies.
International NGOs have existed for more than 100 years, taking the International Committee of the Red Cross, created in 1863, as an example. They only became significant aid donors globally in the 1980s, however.
Very few international NGOs survived the socialist and isolationist Ne Win period, but after the regime change in 1988 they began to trickle into Myanmar. Over the ensuing 20 years, the political and financial sanctions on Myanmar imposed by the United States and other Western countries were a major barrier for most international NGOs, on top of severe limitations on their activities maintained by the military regime.
Cyclone Nargis in May 2008 pushed open the door enough to enable a sharp increase in international NGO engagement from around 40 to more than 100, with the increase concentrated on relief and recovery in the disaster-impacted Ayeyarwady Delta. From this
new peak, there was a gradual withdrawal of international NGOs to around 65 in early 2011 when the Thein Sein government was inaugurated.
After President Thein Sein's breakthrough meeting with Aung San Suu Kyi in August 2011, the situation changed dramatically. It now appears that international NGOs from every corner of the world and in every sphere of activity want to play a role in Myanmar's transition and show its supporters that it can "make a difference." We were told that Myanmar is now the first choice of an assignment for the best performers in many international NGOs.
As of mid-November 2012, according to the Myanmar Information Management Unit (MIMU), there were 87 international NGOs active in Myanmar. This figure substantially understates the reality because a number of international NGOs are missing from the list and because new ones seem to be establishing themselves in Myanmar at the rate of one per week, if not faster. Another component missing from this count is international NGOs working with Burmese refugees and Burmese civil society groups inside Thailand.
Programmatically, the vast majority of international NGOs focus narrowly on humanitarian assistance, especially health and community development projects. Another common characteristic is keeping the government at arm's length but working closely
There are some NGOs doing good work here, but their contribution is like feeding an elephant with a handful of sesame seeds.
—A local NGO leader in Myanmar Times, Special Report on NGOs, November 2012, p4.
with local NGOs. Most international NGOs operate under memoranda of understanding with one or more government ministries. Because of financial sanctions and reputational risks, they have shied away from co-financing projects with the government and from capacity building projects for the government. As the Thein Sein government has gained credibility in pursuing political and economic reforms, the international NGOs have started to work more closely with the government.
The international NGOs as a group will contribute measurably to political, social, and economic development in Myanmar as they move beyond humanitarian aid delivered directly to needy communities to initiate projects in other sectors and to help build capacity within the government and within local NGOs.
In terms of donor coordination, the international NGOs have taken the laudable step of establishing an NGO Resource Center in Yangon as a vehicle for sharing experience, avoiding competing or overlapping projects, and speaking with one voice in dialogues with the Myanmar government. The government in turn is cognizant of the prospect of getting strong
support from the international NGOs for its development program. The government allocated five seats for the international NGOs at the January 2013 forum and is expected to establish a more formal basis for coordination with them in the months ahead. Already, international NGO representatives have been invited to participate in some of the sector working groups.
In the limited time available for our in-country interviews, we only met with representatives of seven international NGOs. Short descriptions of three of them—HOPE International, PACT, and World Vision—are provided in the next section. An example of how a relatively small international NGO can have a major policy impact is described in Exhibit 11.
Exhibit 11
The Friedrich-Ebert-Stiftung and the Central Bank of Myanmar
Since the Thein Sein government came to power, an especially impressive activity by foreign donors is the support for economic reform provided by the Friedrich-Ebert-Stiftung (FES). (The German government provides most of the funding for FES.)
the interests of the officials and were implemented quickly with a minimum of paperwork.
From its regional office in Kuala Lumpur, FES took an early interest in supporting economic reform in Myanmar. It employed a Burmese liaison officer in Yangon who had the confidence of key policymakers and it began in 2011 to fund activities such as a visit to Jakarta by a small group of policymakers to learn lessons from Indonesia's experience in managing its economy. These activities were carefully tailored to
An outstanding example relates to the government's decision to abandon the country's grossly overvalued official exchange rate in favor of a market-determined rate. Frustrated by the slow pace of technical assistance from the IMF to prepare for this reform, policymakers sought help from a source that could respond rapidly and confidentially. FES rose to the occasion. Its support was instrumental in bringing to the Central Bank of Myanmar a small team from Thailand's central bank, led by a retired governor, to assist in implementing this reform.
Other Sources of Foreign Aid
One substantial source of foreign aid not captured in the categories discussed above might be called "transitory aid." It takes the form of invitations to conferences and workshops inside or outside of Myanmar and ad hoc visits by experts sometimes arranged on the basis of personal connections. An interesting example is the two "Green Economy Green Growth" workshops initially convened in November 2011 and repeated in November 2012. A Burmese professor at a university in the United States was the principal organizer. Another example is student volunteers from universities in the United States and other countries teaching English at schools in Yangon or interning with NGOs.
Three subcategories of other aid—faith-based, military/quasi-military, and corporate—merit further elaboration. Faith-based foreign aid to Myanmar has a legacy stretching back decades before independence. The most significant form of this aid has been Christian missionaries living among the ethnic minorities in the mountainous regions on Myanmar's borders. As a
result, some of the largest ethnic minorities—notably Chin and Kachin—are predominantly Christian. The amount of faith-based foreign aid today seems small in dollar terms, but some faith-based organizations have a significant voice in shaping Western donors' aid policies toward Myanmar. A new participant in this subcategory is Christian community development volunteers from Korea.
Independent but anti-communist Burma received some military aid from Western countries in the early decades of the Cold War. In the 1980s, the United Nations, the United States and some other countries provided what can be called quasi-military aid to support the suppression of narcotics production and distribution in Shan State (between China and Thailand). After 1988, military aid from Western sources was totally stopped and the Tatmadaw turned to suppliers from China, North Korea, and Russia. It is assumed that Myanmar had to pay cash for most of the military hardware it purchased, or engaged in barter transactions. Some training may have been free.
Under the Thein Sein regime, it looks as though military transactions with North Korea will stop and those with China will be curtailed. By contrast, the Western countries—including the United States—have taken steps to resume military aid to Myanmar. Aid to the Myanmar police, another form of quasi-military aid, could become substantial in two to three years.
Corporate aid is a subcategory we have invented to capture a wide range of activities that, in Myanmar, fall under the rubric of Corporate Social Responsibility (CSR). Perhaps because of the role of merit in the Buddhist faith, people in Myanmar have come to believe that all profitmaking corporations should undertake charitable activities along the lines of funding orphanages and schools and health clinics. While such activities represent a rather small part of the spectrum of activities related to CSR in the rest of the world, they seem to represent close to 100 percent of what people in Myanmar expect from CSR. Because this is a relatively new concept, resembling a fad, the aggregate amount of this corporate aid flow today is not large. However, if foreign investment grows at the pace anticipated by the Thein Sein government, this form of corporate aid could represent a significant fraction of the humanitarian aid flowing to Myanmar from foreign sources.
The point of mentioning these other sources is not to suggest that they will have a measurable macroeconomic impact. Instead it is to underscore the burden government officials bear in managing the full range of foreign aid and other financial flows. Together, foreign visitors calling on senior officials in the Myanmar government to discuss military aid, corporate aid, other miscellaneous forms of foreign aid, and direct investment represent a substantial diversion from essential work on policy analysis, formulation, and implementation.
7. Myanmar's Major Development Partners
Multilateral Donor Agencies
UNITED NATIONS
Because of its unique international character, the United Nations has been engaged in aid activities in Myanmar through the good years and the bad. Moreover, because the third U.N. Secretary General was Burmese (U Thant) the United Nations has probably been more engaged in Myanmar than it would have been otherwise.
After 1990, when the military junta set aside the results of the national election won by the NLD, U.N. activities in Myanmar went into a decline. The decline accelerated when Western sanctions were tightened in 2003. In particular, UNDP activities were sharply circumscribed by U.S. legislation that effectively limited them to humanitarian aid delivered outside the reach of the government. Low points were reached by the United Nations when the government refused to approve a visit of the Secretary-General's Special Envoy to Myanmar (2004), when the Global Fund to Fight AIDS, Tuberculosis and Malaria pulled out of the country (2005), and when the UNDP resident representative was expelled (2007).
The United Nations, however, also helped the former government re-engage with the international community. After Cyclone Nargis struck Myanmar in May 2008, causing unprecedented loss of human life, the United Nations—along with ASEAN and the Government of Myanmar—became a member of the Tripartite Core Group that oversaw the international relief and recovery effort. In December 2009, the U.N. Economic Commission for Asia and the Pacific (ESCAP) arranged for Nobel Prize-winning economist Joseph Stiglitz to visit Myanmar. That visit sparked the first serious international discussion of public policy at the cabinet level in decades and was a harbinger of the sweeping economic reforms that the Thein Sein government would initiate in 2011.
ESCAP continues to engage with the Government of Myanmar and its development partners through high-level policy dialogue and capacity development initiatives. Its technical assistance includes development of statistics, facilitation of Myanmar's integration with the
ASEAN Economic Community, implementation of development-oriented macroeconomic policies, promotion of SMEs and public-private partnerships, and transfer of environmentally sound modern technologies. It will be establishing a regional technical support office in Myanmar in 2013.
Beginning in 1994, UNDP has implemented a series of projects under its Human Development Initiative. Phase IV of the initiative, which began in 2003 and is now coming to a close, included five projects: integrated community development, community development in remote townships, HIV/AIDS prevention and care, microfinance for the poor, and integrated living conditions. The microfinance project appears to have been especially successful.
By the end of 2012, the restrictions on UNDP activity had been largely lifted. It is now preparing a normal country program in Myanmar that will focus on sustainable and inclusive community development, climate change and disaster risk reduction, and democratic governance. UNDP will also give high priority to the promotion of livelihoods in cease-fire areas. The U.N. agencies as a group provided about $150 million of assistance in 2011, making them the single largest source of foreign aid that year. U.N. assistance can be expected to rise substantially during the 2012-2015 strategic planning period, but the actual level of assistance will depend on contributions from the U.N.'s member governments.
Space constraints make it impossible to do justice to the range of U.N. activities in Myanmar. The best we can do is list the agencies involved beyond UNDP: FAO, ILO, IOM, OCHA, UNAIDS, UNESCO, UNFPA, UN Habitat, UNHCR, UNICEF, UNODC, UNOPS, WFP, and WHO. Among these, the work of the ILO stands out for its beneficial impact on policies under both the previous and the current government.
INTERNATIONAL MONETARY FUND
The IMF is not a donor agency. It would be a mistake, however, not to mention its role in Myanmar's transition. In the Than Shwe/SLORC/SPDC era, the IMF sent Article IV consultation missions to Myanmar roughly once each year to assess the country's macroeconomic policies and performance. The mission reports were issued only to IMF's Executive Board until May 2012, when the authorities for the first time consented to the publication of the latest report on the IMF's website. The Thein Sein government signaled its seriousness about economic reform when it invited the IMF in mid-2011 to assist it in moving from a multiple exchange rate system with a hugely overvalued official rate to a market-based system that would meet the Article VIII standard for current-account convertibility. On April 1, 2012, Myanmar abandoned its fixed official rate and introduced a floating rate system for retail transactions.
During 2012, the IMF's technical assistance activities increased substantially, focusing on operational independence for the Central Bank of Myanmar, financial sector reform, and statistics. In November 2012, an IMF mission held discussions with the government that led to
a program of economic policies and institutional reforms to be implemented through December 2013 and monitored by the IMF. The staff report on this program was posted on the IMF's website on the eve of the first Myanmar Development Cooperation Forum. The program provided crucial support for the following week's arrangements to clear Myanmar's arrears to the World Bank and the Asian Development Bank, and for the exceptional debt cancellation and restructuring agreement with the Paris Club creditors concluded on January 25.
WORLD BANK
The World Bank began lending to Myanmar in 1956, primarily to repair infrastructure damaged in World War II. It suspended lending after 1987 as its major Western shareholders reacted to the suppression of the emerging democratic movement. Myanmar stopped making payments on outstanding IDA loans in 1998 and arrears started to accumulate, reaching $436 million at the end of 2012. In response to an invitation from the Thein Sein government to normalize relations, the World Bank Group has been moving rapidly on several fronts.
First, it collaborated with the Government of Japan, the Asian Development Bank, and the Paris Club in the January 2013 operation that cleared Myanmar's arrears to the World Bank, an essential step to resuming normal lending. Second, on November 1, 2012, the World Bank Executive Board approved an "Interim Strategy Note for the Republic of the Union of Myanmar for the Period FY13-14." This note provides justification for an IDA credit of $407 million in the FY2013 (essentially refinancing the arrears), and an allocation of IDA credit of $165 million in FY2014. (Highlights of the strategy note can be found in Exhibit 9.) Third, the Executive Board on the same day approved a grant of $80 million to fund a "National Community Driven Development Project." Finally, and again on the same day, the IFC Executive Directors approved a $2 million investment in a microfinance scheme.
In mid-2012, the World Bank opened a resident office in Yangon, co-located with the Asian Development Bank's office. Under its new president, Jim Yong Kim, the World Bank is implementing a major organizational reform with the objective of providing real time support to its developing country clients. Myanmar could be one of the main beneficiaries of this change.
ASIAN DEVELOPMENT BANK
The ADB suspended lending to Myanmar after 1987 for the same reasons as the World Bank. Myanmar's arrears to the ADB reached $517 million at the end of 2012. The ADB moved more quickly and broadly than the World Bank in reengaging with Myanmar's new government. It started sending scoping missions in 2011 and started a number of sector assessments in 2012. At the end of October, the ADB announced agreement on a "Reengagement Strategy for Myanmar 2012-2014" and posted a document describing the strategy on its website. The priority areas under the strategy, closely aligned to the government's development plans, are
building human resources and capacities in public sector agencies, promoting an enabling economic environment, and increasing access and connectivity to markets. (See Exhibit 9 for more detail.) The strategy is elaborated on in ten sector assessments and thematic analyses also posted on the ADB website. They cover agriculture and natural resources, energy, postprimary education, transport, urban development and water, environment, economic policy, gender, poverty, and regional cooperation and integration.
After Myanmar's arrears were cleared in January 2013, the ADB announced the disbursement of a new loan ("special allocation") from its concessional window of $512 million, effectively refinancing the arrears. Over the next three years, the ADB is allocating $3 million per year for Myanmar from its Technical Assistance Special Fund. The ADB will also use grant resources from trust funds and co-financing arrangements to support development activities in Myanmar during this period. In mid-2012, the ADB opened a country office in Yangon, colocated with the World Bank's office.
ASSOCIATION OF SOUTHEAST ASIAN NATIONS
ASEAN is not a donor agency and it does not have a formal aid program. It would be remiss, however, to ignore the assistance ASEAN is providing to Myanmar in many forms and in almost every sector. The most basic form of assistance is delivered indirectly through the participation of Myanmar's government officials in ASEAN meetings, numbering in the hundreds each year, from the working group level to the summit level. Next in importance are ASEAN's special efforts to raise performance in four lagging member states—Cambodia, Laos, Myanmar, and Vietnam—to ASEAN norms, especially for economic integration. A number of these efforts are funded by western donors, notably Japan and the United States. This kind of assistance will increase sharply in 2013 as Myanmar prepares to chair the ASEAN community in 2014.
Bilateral Donor Agencies
JAPAN
Since independence, Japan has been Myanmar's biggest source of foreign aid, by far. Its level of activity has ebbed and flowed in response to developments inside Myanmar. Activity declined in the late 1990s as a result of Japan's alignment with the United States to express concern about the suppression of the democratic movement and well-documented human rights abuses. Japan's concerns deepened when a Japanese journalist was killed while covering the Saffron Revolt in September 2007.
Myanmar stopped making full payments on outstanding loans from Japan in the late 1980s. As a consequence, arrears reached about $6.6 billion at the end of 2012 (according to the IMF).
At the time of President Thein Sein's visit to Tokyo in April 2012, the Government of Japan announced its intention to provide Y500 billion ($6 billion) of debt cancellation and rescheduling in three tranches. The first tranche of Y199 billion will involve a rescheduling of arrears via an ultra short-term commercial loan bridging to a quick-disbursing long-term concessional loan. The second tranche of Y127 billion will cancel debt that Japan had agreed to write off a decade earlier. The third tranche of Y176 billion consists of charges on overdue payments that will be waived after joint monitoring of Myanmar's program of economic policies and institutional reforms for 2013.
Japan also played a key role in clearing Myanmar's arrears to the World Bank and the ADB in January 2013 by means of bridge loans totaling roughly $900 million from the Japan Bank for International Cooperation (JBIC).
Japan's exceptionally strong support of Myanmar is surprising in light of the occupation of the country by Japanese forces in World War II. It reflects in part Japan's support of the independence movement in Burma on the eve of the war, including military training for General Aung San (Aung San Suu Kyi's father) and others in a group of senior officers. It also reflects Japan's strategic rivalry with China, although the emotional and sentimental dimension of the relationship seems stronger.
This historical context helps to explain the "full court press" by Japan that became visible in 2012. Beyond the arrears clearance, Japan's aid to Myanmar has three distinct elements. The first element is grant aid and technical cooperation funded by JICA and delivered by an array of Japanese agencies and organizations to almost every sector. In 2010, this assistance amounted to about $32 million and is rising significantly. The second element is ODA loans from JICA. In November 2012, Prime Minister Noda announced a loan package of approximately Y50 billion ($650 million), to be implemented after the arrears clearance, to rehabilitate power plants, develop rural areas, reduce poverty, and develop the Thilawa Special Economic Zone (SEZ). A third element is assistance provided indirectly through regional organizations, including the Economic Research Institute for ASEAN and East Asia (ERIA)—which is working on the Myanmar Comprehensive Development Vision—the Bangkok Research Center, the Greater Mekong Sub-region, and the Lower Mekong Initiative.
Finally, while it does not qualify as "official development assistance (ODA)", the Government of Japan is encouraging and supporting a large number of Japanese companies considering investment and other business activities in Myanmar. Some of this support will come from JBIC. In particular, Japanese experts are working with Myanmar's government to redesign the multibillion dollar Dawei deep seaport and related SEZ to make them commercially viable. The project will connect mainland Southeast Asia to South Asia, the Middle East, Africa, and Europe via short road, railroad, and pipeline links from this Indian Ocean port at Dawei to Myanmar's border with Thailand. The Government of Thailand is also a strong supporter of this project.
KOREA
The Korea International Cooperation Agency (KOICA) has been providing grant aid to Myanmar since 1991. KOICA uses four modalities: projects with government ministries, funding support to NGOs, volunteers, and training of government officials. It is currently working in four areas: agriculture/rural development, industrial promotion, economic and administrative governance, and human resource development. Other sectors benefiting from KOICA assistance include health, environment, forestry, and information and communication technology. Since 1991, KOICA's average annual funding has ranged from $3-$4 million. Reflecting the Government of Korea's eagerness to strengthen relations with Myanmar, funding in 2012 rose to about $5.6 million and is tentatively planned to reach $10 million in 2013. One major new project will support the establishment of the Myanmar Development Institute, modeled on the Korea Development Institute. A remarkable feature of KOICA's program in Myanmar is the high degree of coordination with JICA's program. Beyond ODA, it is likely that Korea will soon begin to provide export credit to help Korean companies start or expand their businesses in Myanmar. Korean companies were already in 2011 an important part of the foreign business community in Myanmar.
CHINA
China is not a traditional aid donor and in fact is still receiving aid from some multilateral institutions and bilateral agencies, not to mention being an object of the activities of a large number of international NGOs. China is not a member of the Development Assistance Committee of the OECD. It did sign the Paris Declaration on Aid Effectiveness, but clarified that it was doing so as a recipient of aid not a donor. Nevertheless, China is considered to be one of the biggest aid donors in the world today and Myanmar has been a major beneficiary of China's generosity.
China made an impressive loan commitment to Burma when Premier Chou Enlai
It is difficult to distinguish the Chinese government's genuine development assistance from commercially-based projects contracted by China's enterprises.
—Steinberg and Fan, page 224
visited at the beginning of 1960, but provided little aid to the Ne Win regime (1962-1988), due to its isolationist and anti-communist orientation. In the mid-1990s, China emerged as the leading supporter of the Than Shwe regime, most visibly in 2007 by vetoing proposed U.N. Security Council resolutions to condemn human rights violations in Myanmar. China's economic relations with Myanmar stepped up after 2000 under China's "Going Out" policy that encouraged Chinese companies to invest in natural resource extraction around the world. High level visits between Myanmar and China, resuming at a slow pace in the 1980s and becoming more frequent in each subsequent decade, often resulted in economic and technical
cooperation agreements. Steinberg and Fan have estimated that more than 100 of them were signed up to 2010. Beginning in 1993, interest-free or low-interest loans from China were announced on most of these occasions, generally in increasing amounts.
China's aid agency, located in the Ministry of Commerce, is called the Bureau of Foreign Aid. Funding allocations from it are not transparent. The modalities of Chinese aid can be placed in eight categories: infrastructure and resource projects, commodities, technical assistance, training, medical assistance, humanitarian and disaster relief, youth volunteers, and debt alleviation. James Reilly has estimated that Chinese aid to Myanmar's government between 1997 and 2006 added up to $24 million in grants and $483 million in loans. A good number of these loans financed the sale of Chinese equipment to Myanmar's state-owned enterprises. Myanmar also benefits from Chinese assistance to regional organizations in which it is a member. These include ASEAN, the Greater Mekong Sub-region, and the Bangladesh-ChinaIndia-Myanmar (BCIM) group.
Infrastructure projects are the largest component of China's aid to Myanmar: roads, highways, bridges, dams, telecommunication systems, agricultural equipment, stadiums, and government buildings. The scale of Chinese activity in Myanmar is illustrated by three examples, all of which involve some degree of support from the Chinese government:
1. In November 2005, the Government of Myanmar moved on very short notice from Yangon to a new capital, constructed in secret, named Naypyitaw. Chinese contractors were engaged to undertake key infrastructure projects, including the highway linking Naypyitaw to Yangon and the Naypyitaw International Airport. The Myanmar International Conference Center in Naypyitaw, completed in 2010, was presented as a "gift" from China to a friendly state.
2. In 2007, the China Power Investment Corporation reached agreement with the Government of Myanmar to construct a cascade of seven hydroelectric dams at the head of the Ayeyarwady River, with as much as 90 percent of the power generated to be exported to China. Construction of the Myitsone Dam began in 2009 but it was controversial at the outset because of cultural, social, political, and economic sensitivities. President Thein Sein suspended construction in September 2011 in reaction to strong public protests, which represented a setback in China–Myanmar relations. The Myitsone Dam project and other Chinese-funded infrastructure projects in Myanmar are not "aid projects" per se, but they benefit from financing provided by China's policy banks, including China Development Bank and the Export-Import Bank of China.
3. In 2008, China National Petroleum Company (CNPC) reached agreement with the Government of Myanmar on building dual natural gas and crude oil pipelines from the Indian Ocean coast diagonally across the heart of Myanmar to Yunnan Province in China. Construction began in 2009 and is due to be completed in 2013. It is a commercial joint venture made feasible by Chinese government support and financing from Chinese banks.
At the beginning of 2013, China was in the process of shifting to "softer," more peopleoriented, and more transparent forms of aid. One element of this shift is that a number of Chinese NGOs are launching programs in Myanmar. Another is a project to stem human trafficking. A third is helping Chinese companies in Myanmar strengthen their corporate social responsibility activities, improve media outreach, and conform to international standards. A fourth is building relations with civil society and the political opposition.
EUROPEAN UNION
Since 1996, the European Commission Humanitarian Office (ECHO) has been supporting activities in Myanmar to prepare for and respond to natural disasters.
While in Myanmar in February 2012, the EU Commissioner for Development announced n aid commitment of Euro 150 million ($195 million) for 2012 and 2013, a dramatic increase from the 2010-2011 funding level of Euro 47 million ($61 million), which made it the single biggest bilateral donor (by conventional measures) in these two years. Two-thirds of the 20122013 funding will be allocated to multidonor trust funds, which the EU was instrumental in getting launched. The rest is divided among five areas: aid to uprooted people, support to civil society, capacity building for public administration, environment and climate change, and governance and human rights. The allocation for public administration is especially significant as the beginning of aid provided directly to the government. There will also be a trade policy emphasis in the near term linked to the objective of restoring Myanmar's GSP access to the European market.
UNITED KINGDOM
The United Kingdom's aid relationship to Myanmar reflects two historic interests: its rule over Burma, initially as part of colonial India and later as a separate colony, and Aung San Suu Kyi's marriage to a British academic and adoption of the U.K. as her residence, where she raised their two sons. A third interest, however, may be more important in defining the U.K.'s role in foreign aid to Myanmar: the emergence of the Department for International Development (DFID) as arguably the most innovative and principled aid agency in the world today.
After the abortive 1990 election, in which the NLD led by Aung San Suu Kyi won 80 percent of the seats, the U.K. quickly stopped assistance to the government and concentrated on humanitarian assistance, capacity building in civil society, and support for the democracy movement. The U.K, however, was also one of the first countries to sense the drift from authoritarian rule after 2007, which positioned it to be viewed as the lead aid agency in Myanmar when President Thein Sein's government was sworn in.
DFID's program for the 2011-2015 period targets the Millennium Development Goals (health, education, food security/incomes, and environmental sustainability) based on five pillars: promoting good governance and public financial management, promoting responsible
investment, improving transparency, strengthening the work of parliament, and helping the process of ethnic reconciliation. Funding is projected to rise from about $50 million in the first year to $90 million in the fourth year. So far, all DFID funding has gone to nongovernmental partners, primarily U.N. agencies and NGOs. Unless there is some serious backtracking in Myanmar's transition, it is likely that DFID will begin funding government programs before the end of this program period.
DFID's aid leadership in Myanmar is exemplified by (1) its role in establishing the four multidonor trust funds, which have been in place 2006; (2) its promotion of donor coordination and adherence to the five principles in the Paris Declaration on Aid Effectiveness; and (3) its provision of funding that enabled the World Bank to conduct analytical work pending clearance of Myanmar's arrears to the World Bank.
AUSTRALIA
Australia's special interest in Myanmar reflects its strategic aim of being a major player in Southeast Asia. While it joined other Western countries in imposing sanctions against Myanmar beginning in the 1990s, it was a step ahead of the United States and Japan in pursuing engagement after the Cyclone Nargis disaster.
Along with other Western donors, AusAID activities during the Than Shwe regime were confined largely to humanitarian assistance. Together with DFID, AusAID was already starting to shift to a more normal long-term development program for low-income countries when the Thein Sein government came to power in 2011. In 2012, AusAID agreed to be the lead donor in the education sector, paired with UNICEF.
Unveiled in January 2013, AusAid's new two-year interim country strategy (2012-2014), reflects the unexpected commitment of the Thein Sein government to political and economic reform. The strategy has four objectives: improve the delivery of basic education and health services to the poor, improve the livelihoods of the rural poor, address the needs of conflict and disaster-affected people, and support reform and improved governance. During these two years, AusAID will be developing a strategy for the next period closely aligned with Myanmar's development plans.
Like DFID, AusAID works with partners, especially U.N. agencies and international NGOs, but it is also providing direct bilateral assistance. AusAID funding in its FY2011-12 amounted to roughly A$50 million, and the planned level of funding in FY2012-13 is about A$64 million. No funding levels are spelled out in the 2012-2014 interim strategy, but press reports on the January 2013 visit of an AusAID official mentioned A$100 million from 2015 onwards.
NORWAY
Norway has taken a special interest in Myanmar since 1991, when it awarded the Nobel Peace Prize to Aung San Suu Kyi. After her release from house arrest in November 2010 and even
more so after her remarkable collaboration with President Thein Sein that began in mid-2011, the Government of Norway moved aggressively to be at the forefront of Western aid to Myanmar, especially in peacebuilding. Through 2012, assistance to Myanmar from Norway's Ministry of Foreign Affairs was directed entirely to NGOs and U.N. agencies, but in 2013 Norway plans to initiate state-to-state bilateral assistance.
Norway is a major supporter of the recently established independent and private sectorfunded Myanmar Peace Center that is working to transform the ceasefire agreements with ethnic minorities into a durable structure for internal peace. In January 2012, Norway established the Myanmar Peace Support Initiative (MPSI), which is supporting the ceasefire agreements through education, poverty alleviation, and demining projects. Norway is also chairing the Peace Donor Support Group, established in June 2012, to facilitate dialogue between Myanmar's government and donors and to coordinate donor support for peacebuilding and aid to conflict zones. Additional areas of Norwegian aid activity include capacity building in the public sector (initially focused on the national development planning process), disaster prevention and relief, health, refugees, environment, and human rights.
Norway's level of funding in 2011 was around $30 million and the level is expected to increase substantially in subsequent years. In the January 3013 Paris Club debt relief negotiations, Norway helped Myanmar obtain exceptionally favorable terms by announcing the unconditional cancellation of all outstanding debt obligations, totaling NOK 3.2 billion (equivalent to $582 million).
UNITED STATES
The United States has been a laggard in providing aid to the Thein Sein government. With the formal opening of a USAID mission in Yangon in November 2012, it has signaled its intention to be one of Myanmar's lead aid donors. Under the Than Shwe regime, before Cyclone Nargis in 2008, U.S. aid to Myanmar was directed primarily to refugee groups in Thailand and anti-government groups in various parts of the world. The United States played an important role in the international response to Cyclone Nargis, especially with its airlift capacity. Post-Nargis, modest amounts of USAID funding were allocated to civil society groups in Myanmar for a range of humanitarian activities. USAID funding of $38 million in FY2011 and in FY2012 supported activities in three areas: humanitarian aid, democracy and civil society strengthening, and health.
During President Barack Obama's historic visit to Myanmar in November 2012, the United States announced a program of $170 million for the next two years. The program will expand USAID's involvement into agriculture and food security, transparent governance, peace and reconciliation, prosperity, and higher education. USAID's descriptions of planned activities, however, seem intended more to generate legislative support than to provide a realistic picture of expected results. An example is in the area of food security, where it proposes to
"design a comprehensive and integrated food security program aimed at addressing the underlying causes of hunger and poverty in Burma."
International NGOs
HOPE INTERNATIONAL DEVELOPMENT AGENCY
Based in Canada, HOPE operates in 22 countries and has a total funding level of about $27 million per year. The focus of its small program in Myanmar is peacebuilding, but it is having an impact well beyond its funding level because of the staff's deep knowledge of the ethnic conflicts and its ability to engage constructively with all parties.
PACT
PACT is a U.S.-based NGO established in 1971. It is operating in more than 35 countries, mostly in Africa and Asia, with an annual funding level just above $200 million. PACT is best known in Myanmar for its microfinance programs, which began in 1997. At an early stage, the UNDP selected PACT to start a microfinance project in the Dry Zone while two other international NGOs were selected to start projects in the Ayeyarwady Delta and Shan State. In 2008, because of PACT's superior performance, the three projects were merged under PACT's supervision. This project now includes more than 475,000 active borrowers with an outstanding loan value exceeding $42 million, making it one of the 30 largest microfinance programs in the world. PACT is also delivering microfinance services in other parts of the country under a USAID-financed project. PACT recently registered its microfinance operation under the Myanmar Microfinance Law to operate microfinance activities in other parts of the country as the "Pact Global Microfinance Fund."
WORLD VISION
World Vision is an international NGO founded in 1950 and headquartered in the United Kingdom. In 2011, it had more than 45,000 staff working in more than 100 countries and a budget of $2.8 billion. World Vision has been active in Myanmar since 1991, with current operations in 11 of the country's 14 states, or regions. World Vision's programs span a range of sectors including education, health, agriculture, and child protection. Its microfinance program in Myanmar, in place since 1998, nearly doubled its number of clients in 2012. In addition, it has a significant disaster response capability, with pre-positioned supplies in warehouses in Yangon and Mandalay. It has active partnership agreements with the Ministry of Health, Ministry of Agriculture, Ministry of Social Welfare, and Ministry of Border Affairs. World Vision's 840 staff and 3,200 volunteers in Myanmar work at the community level to build capacity in a range of technical areas. In 2012, its work affected more than 1.9 million people in Myanmar. The level of funding for Myanmar in its FY 2012 was $24 million.
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Appendix A. The Historical, Political, and Economic Context
Historical Overview 2
It can be said that Myanmar/Burma has never existed as a sovereign state. Its borders were drawn by British colonial administrators after the principal kingdoms of the Irrawaddy Valley and related satrapies were conquered in the 1800s. Burma thrived as a colony, becoming the world's largest exporter of rice on the eve of World War II and producing many of Asia's most respected civil servants, doctors, and other professionals.
Much of Burma's modern infrastructure was destroyed during World War II, by the retreating British forces as the Japanese army advanced into the colony and then as the allied forces beat back the Japanese until they surrendered.
It took almost three years after the Japanese surrender for the Burmese nationalists—led by General Aung San, the father of Aung San Suu Kyi—to win independence from Great Britain at the beginning of 1948, but the new Government of Burma was not in full control of its territory. It quickly faced a Communist insurgency and insurrections by a number of ethnic minorities mostly residing in the mountainous regions on Myanmar's borders. The Communist insurgency eventually imploded after China withdrew its support in the 1980s, but the competing visions of the Burman ethnic majority and the ethnic minorities remain the overriding existential challenge facing Myanmar today.
The parliamentary democracy adopted by Burma at independence failed to deliver the economic progress expected and became increasingly factionalized and dysfunctional. General Ne Win led a coup in 1962 to restore order and preserve the unity of the country, but he also adopted extreme socialist and isolationist policies. As a result, Burma slipped down the ranks of developing countries to become one of the least developed countries (LDCs).
2 An excellent summary of Burma's political evolution since 1948 can be found in Min Zin and Brian Joseph, "The Democrats' Opportunity," Journal of Democracy, Vol. 23, No. 4, October 2012. An excellent snapshot of the political situation in November 2012 can be found in International Crisis Group, "Myanmar: Storm Clouds on the Horizon," Asia Report #238, 12 November 2012.
A mass uprising in 1988 brought an end to the Ne Win regime and a shift back to a marketbased economy. Daw Suu Kyi—married to a British academic and living in England— happened to be in Burma to visit her ailing mother when the uprising occurred. Because of her parentage, she became the leader of the movement to end military rule and restore democracy. The military junta that succeeded Ne Win organized a national election in 1990 expecting candidates from the government party to win a majority of the seats. Instead, Daw Suu Kyi's party—the National League for Democracy—won 80 percent of the seats, despite Daw Suu Kyi being under house arrest on election day. The junta, which had renamed the country Myanmar the year before, refused to accept the results of the election. A year later, Daw Suu Kyi was awarded the Nobel Peace Prize.
General Than Shwe emerged in 1992 as the supreme ruler of Myanmar. He used his absolute power to suppress internal dissent and attack the ethnic insurgents. These actions prompted the Western countries to apply progressively stronger political and economic sanctions against Myanmar, especially after the monk-led Saffron Revolt in 2007 was violently put down.
Unlike other dictators in recent times (e.g., Suharto, Mubarak, Gaddafi, Assad), Than Shwe took a remarkable series of steps that have (so far) enabled him to retire gracefully. Following a drafting process that extended over 14 years, he got a new constitution approved in 2008 in a national referendum that was far from free and fair. This set the stage for a multiparty election in November 2010 (equally unfree and unfair). He permitted the release of Daw Suu Kyi from house arrest a few days later, and finally he arranged for the new government that took office in March 2011 to be led by reform-oriented former general Thein Sein.
President Thein Sein's inaugural address, delivered on March 30, 2011, sketched out a vision of political and economic reform that seemed hopelessly progressive, but in less than a year his government produced enough positive results to get most of the Western sanctions suspended or removed and to make Myanmar the number one "frontier country" in the world. One key step was clearing the way for the NLD to win 43 of the 45 open seats contested in a by-election (remarkably free and fair) in April 2012, including a seat easily won by Daw Suu Kyi. Other key steps were releasing political prisoners, restoring press freedom, and enabling 88 Generation exiles to return.
By mid-2012, the best and the brightest—in foreign ministries, multilateral and bilateral aid agencies, international NGOs, multinational corporations, international media, academia, and more—were rushing to Myanmar to take advantage of new opportunities for delivering development assistance, investing private capital, and pursuing a multitude of other interests.
The Political Context
Myanmar's first experience with constitutional democracy was not a success for reasons that will long be debated. Bad luck played a part: the man who led the struggle for independence, General Aung San, was assassinated in mid-1947 along with six other senior leaders, six months before Burma became formally independent. The Cold War played a part: a leadership group dedicated to bringing Burma into the Communist Bloc came close to gaining power by force of arms. The civilian leaders, led by U Nu, had a vision of their country rooted in British socialism and they put Burma on the world stage at the forefront of the NonAligned Movement.
Perhaps the main reason why Burma's first parliamentary system failed is that it was imported into an incompatible culture. In particular, it did not give the ethnic minorities— representing 30 percent to 40 percent of the population—a sufficient stake in the system to make it work. Furthermore, it permitted factionalism to run rampant, rendering dysfunctional the process of policy formulation and implementation. The socialist-nationalist orientation of the government produced inefficiencies that kept the economic benefits from independence far below popular expectations and the country's inherent potential. The civilian leaders handed over power to the military in 1958 when that seemed the best way to avoid a descent into chaos. A national election in 1960 essentially restored the previous civilian leadership with no better results. In 1962, General Ne Win led the coup that ushered in 49 years of military rule.
By most accounts, the Tatmadaw remains the main source of political power in Myanmar. President Thein Sein and the Speaker of the lower chamber of the legislature, Shwe Mann, are retired generals, as are a number of the key ministers in the Union cabinet and almost all of the chief ministers of the seven regions and seven states.
The Myanmar armed forces, the Tatmadaw, view themselves as the guardians of the nation's sovereignty and integrity. There is little overt resistance by the Tatmadaw to the political and economic reforms being undertaken by the Thein Sein government, but it has to be assumed that the Tatmadaw stands ready to step in if the government becomes dysfunctional and loses popular support, as happened in 1958. In fact, the 2008 Constitution provides a basis for the Tatmadaw to do so.
On the surface, political power today is being wielded by two distinct non-military groups. In ascendancy is the group of retired military officers supporting President Thein Sein's agenda of political and economic reforms. This group has the backing of an elite drawn from the business community and civil society, epitomized by U Tin Maung Thann (President of Myanmar Egress, an NGO committed to reform within the existing system) and U Myint (the chief economic advisor to President Thein Sein and the originator of the Myanmar Development Resource Institute).
The other group is led by Aung San Suu Kyi, who became a member of the lower chamber of the legislature in the by-election held on April 1, 2012. Her party, the National League for Democracy, is now the main opposition party. Daw Suu Kyi became a global icon of democracy after being awarded the Nobel Peace Prize in 1991 and then bravely asserting her commitment to democratic rule while under house arrest for most of the next 20 years.
The NLD is not institutionally strong, however, and is vulnerable to factional splintering. The governing party, the Union Solidarity and Development Party (USDP), is also held together by personalities, not issues. As a result, the government that emerges after the national election due in 2015 could be quite different from the current government or from the NLD sweep that most observers seem to expect.
The depth of support for the NLD in Myanmar today is an open question, but there is no doubt that the support Daw Suu Kyi enjoys outside of Myanmar is of Olympic proportions. It is equally clear that the personal relationship she has forged with President Thein Sein has been the key to the withdrawal of sanctions against Myanmar and the tsunami of foreign aid and investment that is beginning to hit the shores of Myanmar. (See Exhibit A-1 for a short history of foreign aid to Myanmar.)
There is a fourth group, however, that will make or break this second experiment with democratic rule in Myanmar: the ethnic minorities. The military government negotiated ceasefire agreements with 17 minorities between 1989 and 1995, but was unable to come close to a comprehensive peace agreement with them and another 12 minorities that continued their armed resistance. Since 2011, the Thein Sein government has negotiated new ceasefires with 11 minorities, but remains caught in a complex battle with the Kachin Independent Army (KIA) on one section of the border with China. To make matters worse, communal violence erupted in Rakhine State in 2012 between the Buddhist majority and Muslim minorities, focusing on the Rohingya who have been stateless for decades.
While the Thein Sein government is committed to achieving lasting peace with the ethnic minorities and is negotiating actively to this end, the outcome appears far from certain at the beginning of 2013. The ethnic minorities are so distrustful of the Burman majority (and the Tatmadaw) that the actions required to bring them voluntarily "into the fold" are far-reaching and complex. Furthermore, it remains to be seen whether the intense focus of the rest of the world on Myanmar will expedite the peace process or complicate it.
Exhibit A-1 A Short History of Foreign Aid to Myanmar
Foreign aid to Myanmar has had an up-and-down history, with the emphasis on down until 2011. Supporters of Myanmar's development in the 1950s saw a bright future for "the rice bowl of Asia," with its educated elite, the product of one of the best national universities in Asia. Foreign aid was provided by more than 40 donor countries, including Russia, India, and Israel.
The United Nations has operated continuously in Myanmar since 1948. The World Bank made its first loans in 1956 for railroads and the port of Rangoon. Myanmar joined the Asian Development Bank in 1973. Both of these multilateral development banks wound down their operations after 1988 in response to the military regime's suppression of the democratic movement.
Japan has been Myanmar's largest and steadiest donor over the past 60 years. China's aid (technical cooperation grants and loans on favorable terms) resumed at a slow pace in the 1980s and then picked up rapidly after 2000, but it is not easy calculate the "aid" component of the Chinese government's support for mining, manufacturing, and infrastructure projects undertaken by Chinese companies.
The United States could be considered Myanmar's lead donor in the 1950s, but its aid mission was expelled in 1962 after Ne Win's coup. Along with Japan and other Western donors, U.S. assistance resumed in the late 1970s, but stopped abruptly when the military moved to suppress the mass uprising against the Ne Win regime in 1988. International NGO activities to address humanitarian needs and support civil society began growing in this period.
Cyclone Nargis in May 2008 opened the door to humanitarian assistance from U.N. agencies, the U.S. government and other Western donor agencies, and numerous international NGOs.
The arrival in March 2011 of Myanmar's first elected government in 50 years and the remarkable collaboration that developed between President Thein Sein and opposition leader Aung San Suu Kyi precipitated a flood of aid donors from every corner of the world, making Myanmar arguably the most popular object of foreign aid in the world today.
At the same time, according to the World Bank, per capita aid (net ODA) received by Myanmar in 2010 amounted to less than $8 per capita—the lowest among the 49 least developed countries on the U.N. list. By comparison, per capita aid to Cambodia and Laos in 2010 was $52 and $67, respectively.
The Economic Context
Much of Myanmar's tragic history since independence is an example of how abundant natural resources can be more of a curse than a blessing. At independence in 1948, Burma's human resources were among the most advanced in Asia. Its abundant natural resources were well known but not overexploited. Since then, control of natural resources has been a life or death issue for the ethnic minorities, and the Tatmadaw was only able to rule the country for 50 years because of its unprincipled exploitation of natural resources while presiding over the systematic depletion of human resources.
Myanmar's natural resources fall into three categories: agricultural, energy, and mineral. In the British colonial period, the Ayeyarwady Delta became one of Asia's leading rice bowls. Rice yields in this part of Myanmar are among the lowest in Asia today, which means that the
country still has the potential to be a major rice exporter. Irrigation works have opened thousands of additional acres to multicropping, and Myanmar has become a major exporter of pulses and beans in the past decade. Low usage of agricultural chemicals across the country is an important comparative advantage, if it can be maintained. Sadly, Myanmar's abundant forest resources, both timber and wildlife, have been overexploited and are still being depleted at an unsustainable pace. Myanmar also has abundant fishery resources but is presumably losing much of the potential value because of poaching by foreign vessels in coastal waters it is unable to control.
Myanmar began exporting natural gas to Thailand from offshore fields in the Andaman Sea in 1998. More will be exported from a new field in the same area beginning in 2013. Even more will be exported to China beginning in mid-2013 from large offshore fields near the Bangladesh border. Exploration and development of onshore oil and gas deposits is underway. Hydroelectric power is the other main energy resource, but like the gas, a high percentage of today's production is being exported to Thailand and China while most of the rural population has no access to the grid and electricity supplied to urban areas and industry is minimal and unreliable. Myanmar also has commercially interesting coal deposits. The most lucrative mineral resource currently is jadeite sold almost exclusively to Chinese buyers. Other important minerals are copper and gems.
None of the concessions to extract natural resources are transparent and consequently it must be assumed that some fraction of the potential profit is diverted by powerful individuals and groups instead of flowing into the budget. Remarkably, the Thein Sein government has declared its intention to participate in the Extractive Industries Transparency Initiative (EITI) and has taken concrete steps to make it happen.
Infrastructure development in Myanmar is at least 20 years behind the rest of Asia. Amazingly, there is not a single highway or railroad today that connects Myanmar with any of its four neighboring countries. Large investments in rural roads, ports, and airports will be necessary to make Myanmar competitive in world markets. Comparable investments in electricity production, transmission, and distribution will have to be undertaken to enable the job creation that leads to rising standards of living. Internet and mobile phone penetration are very low, but progress here is visible.
Myanmar's financial system is a mess. Contributing factors include three demonetizations within living memory, a banking crisis in 2003, and sanctions imposed by Western countries. Myanmar has a cash economy made worse by a shortage of large and small notes. Fortunately, progress in modernizing the banking sector is also visible. The underground or informal economy is very large, partly because Myanmar is Southeast Asia's leading source of opium and methamphetamines.
Macroeconomic management is almost nonexistent. Myanmar's budget process is a work in progress, its exchange rate system only became market-based in April 2012, and its central
bank lacks the requisite operational authorities and autonomy. Here, too, progress can be seen in new laws being adopted and government capacities being strengthened. (The paucity of reliable statistics is described in Exhibit A-2.)
Exhibit A-2
Searching for Good Statistics
A first order problem in any assessment of Myanmar's economic performance is the absence of reliable statistics. To begin with, population estimates range from less than 50 million to more than 60 million. The last national census was in 1983, but it had a number of shortcomings. The only census consistent with contemporary international standards was carried out in the 1930s, when Burma was still a colony. To its credit, the Thein Sein government is working with U.N. and other agencies to carry out a state-of-the-art census in 2014.
GDP data published by the Than Shwe regime showing growth rates exceeding China's are not credible. Various methodologies used to estimate more accurate growth rates have pointed to an average annual GDP growth rate since 1992 of less than 5 percent. Much of Myanmar's economic activity is underground or in the informal sector so these estimates are only useful to suggest trends. The ADB puts per capita income in 2011 at $857.
invoicing is extensive and much of the country's border trade is not captured. Budget data for past years has no credibility. The Thein Sein government is committed to a high degree of budget transparency, but detailed budget figures showing actual revenues and expenditures as well as planned ones are not readily available in English.
The Central Statistical Office under the Ministry of National Planning and Economic Development has been constantly collecting and reporting statistics. It is now receiving technical assistance from the United Nations and other sources with a view to rapidly producing statistical information on a par with its ASEAN partners.
The World Bank website includes the following statement: "Comparable country data for Myanmar can't be provided at this time. The World Bank and other agencies are re-engaging with the Myanmar government and will support Myanmar in its effort to address the scarcity of reliable data for the country."
Myanmar's balance of payments data is considered reasonably good for what it covers, but under-
Myanmar's economy is performing far behind most of its ASEAN partners in every sector. Poverty reflected in severe malnutrition is widespread. Seventy percent of the population is rural and depends on agriculture, but crop yields may be falling in the absence of the kind of policies and programs used elsewhere in Asia to kickstart broad-based economic growth.
Worst of all, Myanmar's institutional capacity and human resource endowment are at rock bottom, constituting the nation's major impediment to rapid economic progress. A possible bright spot in this area is the Diaspora, which could be mobilized to increase the pace of growth. A potential problem is the role of the Chinese, both the Myanmar-Chinese who have been prominent members of the business community for generations and the hundreds of thousands of Chinese who have moved into northern Myanmar over the past 15 years to exploit a wide range of economic opportunities.
Foreign investors have shown a keen interest in Myanmar in response to the reforms initiated by the Thein Sein government. Companies like Coca Cola and Toyota, absent for many years mostly because of reputational risks, have returned. Leading energy and mining companies are bidding for exploration and production concessions. Foreign banks are establishing representative offices. Global law firms and accounting firms are setting up shop. Major commercial real estate developments have been announced and at least one venture capital fund has been formed.
Inflows of private capital will greatly exceed aid flows as long as Myanmar's transition remains on track. These flows will determine the look and flavor of the economy over the next 3-5 years. How the government manages them will determine whether Myanmar becomes an urbanized and cosmopolitan country like Thailand and Vietnam or a quieter and more balanced country.
Appendix B. The Paris Declaration and Its Sequels
In 2005, forty-five years after the United Nations declared the 1960s to be the "development decade," and the high-income countries had spent hundreds of billions of dollars to promote "development" in low-income countries, the public perception was that foreign aid was a bottomless pit. Many aid-receiving countries, particularly in Africa, had "undeveloped": their citizens were living in worse conditions than in 1960. By contrast, China, the world's largest poor country, had brought hundreds of millions of its citizens out of extreme poverty with little help from the foreign aid community. A consensus emerged on the need to have a serious look at aid effectiveness.
During the decades of foreign aid up through the 1990s, donor coordination was seen as a basic element in successful aid programs. In particular, it was a way of avoiding duplicating activities and sharing information. It was also useful in arriving at a consensus among donors on messages to deliver to recalcitrant governments to encourage the adoption of growthpromoting and poverty-alleviating policies. Donors saw themselves as being more interested in progress than the recipient country's government. In some cases, a united donor front was able to produce positive policy changes, but donors often failed to agree on what to demand and the recipient countries almost universally resented donor conditionalities. Moreover, at the level of individual projects, each donor tended to go its own way.
Numerous shortcomings of development assistance in past decades had been documented. Among the most egregious:
* Competition emerged among donors for the scarce time of government officials. Each donor had its own programming missions and sought to "make a difference" with its own projects, regardless of conflicting approaches taken by other donors. Success was measured by the volume of aid more than improvements in the well-being of the people in the countries being helped.
* Pressure to accelerate disbursement of budgeted funds led to a proliferation of "project implementation units (PIU)," parallel structures that enabled funding to bypass government ministries. The PIUs attracted outstanding government officials by offering
better salaries, more computers, project-funded motor vehicles, etc. When the project funds were used up and the PIUs were shut down, government ministries were weaker than before the project was launched.
* Donors, driven by demands from the legislatures that were funding them, periodically embraced "new approaches" in an effort to secure more funding. Consequently, country programs were interrupted to embrace the latest fad from headquarters.
* Donors required procurement to be sourced in the home country. As a result, for example, hospitals ended up with graveyards of medical devices due to a lack of training or spare parts.
At the end of a conference in Paris in March 2005, representatives from 55 developing and developed countries and 26 multilateral development institutions issued a statement containing commitments to reform the design and delivery of development assistance. This "Paris Declaration on Aid Effectiveness" contained five principles:
1. Ownership. Developing countries will determine their own strategies for reducing poverty, strengthening institutions, and tackling corruption.
2. Alignment. Donor countries will align behind these strategies, channel assistance through government budgets, and use sector-wide approaches where appropriate.
3. Harmonization. Donor countries will coordinate with each other, adopt common procedures, and share information to avoid duplication. Multidonor planning missions will be organized to reduce the burden on government officials.
4. Results. Developing countries and donors will shift their focus from providing inputs to achieving results. Countries will develop standards for measuring results, which donors will use in preference to their own.
5. Mutual Accountability. Both donors and partners will be accountable for development results. Periodic, at least annual, meetings between the country and each donor will be held to discuss results achieved, including where each partner may have fallen short in carrying out commitments.
The Paris Declaration, in effect, gave developing country governments the principal responsibility for promoting economic growth and reducing poverty, and placed donors in a supporting role. This role reversal, helped by donor insistence on national discussions of strategy, has led to much more forward-looking planning by recipient governments, and much more dialogue on strategies.
Two follow-up meetings on aid effectiveness were held: in Accra (Ghana) in 2008, and in Busan (Korea) in 2011. The Busan meeting was attended by 160 countries and 30 international organizations, as well as numerous representatives of civil society organizations and the private sector. A split opened up, however, between "North-South" donors and "SouthSouth" donors. The latter, notably including India and China, viewed the Paris principles as inappropriate for their aid to fellow countries of the South.
An independent evaluation of the implementation of the Paris Declaration prior to the Busan meeting, carried out for the OECD by a team engaged by the Danish Institute for International Studies, concluded that country ownership had been successfully embedded in most donor approaches. Some progress had been made on the principles of alignment and harmonization, although no progress was evident on reducing the burden for partner countries of managing donor assistance. Little progress was found on the last two principles, managing for results or creating mechanisms for mutual accountability.
A second study by the OECD in 2011 checked the 12 time-bound commitments made by donors at the Paris meeting to see which had been met. Only one had: use of partner-country strategies. The study, covering 56 developing countries, concluded that
* Capacity building was still mainly supply-driven.
* Donors were using host-country systems more, but less than promised.
* One-third of the recipient countries improved financial management, but a quarter had regressed.
* The long-term predictability of aid had not improved.
* Joint programming missions, common procedures, and joint projects were not being undertaken.
The Busan Declaration pushed further in three areas. First, it gave greater recognition to "South-South" assistance, essentially exempting aid from other developing countries from the commitments made by developed countries but recognizing them as full partners. Second, it gave greater recognition to the private sector's role in development and the importance of government policies creating open trade and investment regimes that would encourage private investment. Third, it emphasized engagement of the whole of society, including the business community, civil society, and parliaments in the process of designing and implementing development programs. Previous formulations had tended to treat "government" as synonymous with "country."
Appendix C. Lessons from Other Countries
Myanmar has launched a reform effort with few successful precedents: a very poor country embracing democratic rule at the same time it is trying to resolve longstanding ethnic conflicts and is opening up its economy to the world after decades of isolation. How to move successfully from autocracy to democracy, from isolation to openness, and from control of economic resources by a small elite to broad ownership, are key challenges for the Thein Sein government. Deciding which path is most likely to produce rapid, broad-based improvement in the economic and social well being of the population is a crucial choice.
Making democracy work in poor countries has not been easy. While democracy has been promoted by much of the donor community as appropriate for all countries at all times, considerable historical evidence contradicts this view. Fareed Zakaria has argued that it is much more important for poor countries to embrace the rule of law than to create democratic political systems. 3 Robert Barro, examining the empirical evidence up to the mid-1990s, concluded that poor countries with democracy would evolve into less-democratic polities, because there is not a sufficiently broad base of divergent interests to prevent the ruling coalition from amassing steadily more power. 4
On the experience of poor countries successfully moving from isolation to openness, the evidence over the decades is clear. Low wages gave them a comparative advantage that allowed for rapid growth in exports, usually of labor-intensive manufactures. Creation of special economic zones or export processing zones was often a way to overcome infrastructure weaknesses. As the national infrastructure improved, exporting companies in other parts of the country became more competitive.
From a long-term perspective, Acemoglu and Robinson (A&R) have attributed the failure of many countries to advance economically to elites who extract the country's wealth to
3 Fareed Zakaria, The Future of Freedom: Illiberal Democracy at Home and Abroad, Norton, 2007
4 Robert Barro, Getting It Right: Markets and Choices in a Free Society, MIT Press, 1998
perpetuate themselves in power while leaving the majority poor. 5 These elites monopolize the commanding heights of the economy and prevent the "creative destruction" that would otherwise come from non-elite innovators. For A&R, real development is only likely to occur when a critical juncture allows the power of the elites to become limited, permitting the country to move to an "inclusive" polity that redistributes power in a way that allows new economic agents to introduce innovations capable of raising productivity and incomes over the long term. They cite Russia and most of the former Soviet Republics as cases that failed to use a critical juncture to turn from an extractive state to an inclusive one. In their view, the state as the extractive agent was simply replaced by a private sector elite becoming the extractive agent. Similarly, they predict that China's economic growth will eventually stop, as the elites controlling state-owned enterprises stifle competition from potential innovators outside their control. Myanmar today is facing a critical juncture of this kind.
Abundant natural resources pose a particular challenge, as they tend to generate little employment, and the wealth from them is easily appropriated by elites, producing the "resource curse" visible in many poor countries. Nigeria is the poster child for this problem. Its oil wealth has enriched a small elite while destroying the export competitiveness of its traditional agricultural products and impoverishing millions of its citizens.
Beyond these generalizations, the experience of poor countries in the different regions of the world over the past few decades is summarized in the following paragraphs.
Eastern Europe's experience with foreign aid was generally positive during its transition from socialist to market economies beginning in the late 1980s. The governments of these countries had a clear idea of where they wanted to go: they wanted to be economically integrated with Western Europe, and even become members of the European Union. It was natural and easy for the Western donors to align their aid programs with these objectives and contribute essential technical expertise.
The results in Africa after the end of colonialism (in the 1960s for many countries) were quite different. Most African independence leaders believed that they could modernize their countries quickly after the burden of colonialism had been lifted. The wealthy donor countries contributed massive amounts of foreign aid—often exceeding 10 percent of GDP—to support these efforts. But the aid largely served to entrench governments pursuing mistaken policies. Poverty across the continent persisted and even deepened in some countries. Botswana was the exception. Believing that only careful management of its natural and human resources could lift the country out of poverty, it was able to outpace its regional neighbors and achieve high rates of economic growth after independence. In the past 10-15 years, an increasing number of African countries have adopted similar outward-oriented policies and effective
5 Deron Acemoglu and James Robinson, Why Nations Fail: The Origins of Power, Prosperity, and Poverty, Crown, New York, 2012
macroeconomic management, and now appear to be on the path of sustained economic growth. Donor assistance remains relatively high, but it is more carefully targeted to supporting private sector-led growth.
Following World War II, most governments In Latin America adopted import-substituting policies that entrenched vested interests and limited competitiveness. Western donors generously supported these misguided development strategies. The Latin American countries achieved only modest economic growth through the 1970s and then experienced a "lost decade" while extracting themselves from a continent-wide crisis brought about by excessive external borrowing. Chile was the first country to adopt an alternative path featuring limited government, export-oriented investment, macroeconomic policies that controlled inflation, and enlightened management of its natural resources. Other countries that subsequently shifted to less populist strategies with considerable success included Brazil, Mexico, Colombia, Peru, and Costa Rica. Flows of donor aid to Latin America have eased in the past 10-15 years as more countries have achieved middle-income status, but donors are still struggling to find ways to promote political stability and prosperity in more than a dozen countries, including Haiti and most of the Central American republics.
The Middle East has suffered greatly from the resource curse, with autocratic governments able for decades to provide slow improvement in living standards without laying the foundations for sustained economic growth or responsive political systems. Egypt, recipient of more than $50 billion in aid from the United States alone over the past 36 years, is another poster child for the failure of aid. The "Arab Spring" in 2011 can be seen as a reaction to decades of progress lost to poor governance enabled by large aid flows. Donors are now trying to find ways to avoid repeating the mistakes of the past, but there is little evidence that they are succeeding.
Myanmar is fortunate because the developing countries of East Asia stand out in adopting outward-looking economic policies that have led to impressive reductions in poverty and increasingly democratic political systems. The first ones to lead the way were South Korea and Taiwan, in the 1950s. Their success inspired the Southeast Asian "tigers" to achieve high rates of economic growth beginning in the 1970s. All of these countries received substantial amounts of foreign aid, as did Vietnam when it shifted to a more open growth strategy in the mid-1980s. By contrast, foreign aid has played only a small role in China's phenomenal growth since 1979, with foreign investment being a major driver. India's experience was quite different. It received relatively large amounts of foreign aid beginning in the 1960s to support an inward-looking growth strategy, but it was unable to achieve high rates of economic growth until the 1990s when it adopted more outward-looking and less aid-dependent policies. The role of foreign aid in Indonesia's transition to democratic rule since 1998 has some particularly valuable lessons for Myanmar. (See Exhibit C-1.)
Exhibit C-1 The Indonesian Experience
The role of foreign aid in Indonesia since its independence following World War II provides some sobering lessons for Myanmar, especially its role following Indonesia's dramatic transition to democratic rule that began in 1998.
Post-war assistance to Indonesia from the United States and other Western donors was on a par with assistance to other newly independent nations at the outset, but slacked off as President Sukarno led his country down an increasingly nationalist and antiWest path. A bloody transition in 1965 brought General Suharto to the presidency a few years later. He crushed the communist movement and brought order to the country through authoritarian rule. Relations with the donor countries of the West were quickly normalized and large amounts of aid began to flow. To his credit, Suharto effectively delegated economic policy to a group of U.S.-trained technocrats ("the Berkeley mafia"). The combination of sound policies and generous aid yielded one of the fastest growing economies in Asia over the next 30 years.
Within a few years of Suharto's forced resignation in 1998, Indonesia had become a poster child for democratic rule. Multilateral and bilateral aid to the country soared, both to facilitate the country's recovery from the financial crisis that was Suharto's undoing and to consolidate the transition to democracy. The results over the past 14 years have been underwhelming, however. Despite maintaining above-average macroeconomic policies, the country has been unable to regain the annual growth rates of 7-9 percent that were achieved during most of the Suharto era.
More to the point, the tens of millions of dollars of foreign aid provided after 1998 that were directed toward building an effective legislature and a respectable judicial system have not yielded the improvements they were designed to achieve. Many Indonesians today consider their legislature to be the single biggest obstacle to progress and their judicial system to be more corrupt than it was in 1998.
After 1990, foreign aid to Indonesia slowed, partly because Indonesia was rising in the ranks of middleincome countries but also because the Suharto regime became deeply corrupt and was losing popular support.
Millions of dollars of foreign aid are likely to be directed to Myanmar in the coming years to build an effective legislature and a respectable judicial system. It will not be easy for the Government of Myanmar and the donor agencies to find approaches that yield better outcomes than Indonesia has experienced.
In Myanmar's regional peer group, recent studies of donor coordination in Nepal, Cambodia, and Vietnam provide contrasting stories. 6 In Nepal, aid commitments exceeded the country's absorptive capacity. Donor programs tended to be duplicative and sometimes inconsistent. In the words of the study, "the need to demonstrate attribution, a reluctance to align internal bureaucratic processes with those of [the Government of Nepal], and inadequate ownership and interest in the development process from Nepal are the main reasons given [for the ineffectiveness of aid]." Many projects had a standalone character, meaning that they left little
6 The three were all done in 2010 in preparation for the Busan follow-up meeting to discuss progress in implementing the Paris Declaration. All three are can be accessed from the OECD website.
footprint once the money was disbursed. A separate independent assessment 7 suggested that some donors "inadvertently" acted to prevent reconciliation among the various political factions in Nepal.
In Cambodia, the study reported a "high degree of fragmentation in aid delivery," partly due to lack of capacity in the government. This weakness was exacerbated by the diversity and complexity of donor programs, which overtaxed the government's management capacity. Fear of corruption was another factor, as donors mostly opted for use of their own systems for monitoring and implementing their projects.
In Vietnam, relatively little foreign aid was provided during the first decade after doi moi in 1986. When donor activity accelerated in the mid-1990s, the government established a strong unit to manage foreign aid to the country, and was successful in channeling aid in ways that reinforced government programs in rural areas. Initially the central government directed most aid flows, but gradually more control was delegated to the lower levels of government largely because of pressure from donors.
7 International Crisis Group, "Nepal's Constitution (I): Evolution Not Revolution," Asia Report No. 223, August 27, 2012.
Appendix D. The Pyidawtha Plan and Its Successors 8
Burma became independent on January 4, 1948. Planning the country's economic and social development had begun the previous year. Specifically, General Aung San convened a "Rehabilitation Conference" shortly before his assassination in July 1947. This conference initiated work on the "Two-Year Plan of Economic Development for Burma," which was completed in April 1948.
In 1950, inspired by a newspaper report about an economic assessment of Iran's potential carried out by a private firm, Prime Minister U Nu directed his staff to arrange for a similar report on Burma to be undertaken. The result was a two-year contract concluded a year later with the American engineering firm of Knappen Tippetts Abbett in association with the mining engineering firm Pierce Management, and the economic consulting firm Robert R. Nathan Associates. The dollar costs of the work were funded by a $10 million grant from the U.S. Government (Technical Cooperation Administration).
The formal title of the plan produced was "Comprehensive Report: Economic and Engineering Development of Burma." It was known as the K.T.A. Program or the Pyidawtha Plan. (Pyidawtha has been translated commonly as "happy land," but "prosperous land" may be closer to current usage.) The plan was delivered to the Government of Burma in August 1953 and was presented in two volumes together containing more than 800 pages.
8 Nathan Associates has digitized the Pyidawtha Plan and posted it on their website at http://www.nathaninc.com/myanmar.
Two aspects of the historical context are worth mentioning. One is the massive destruction of infrastructure in Burma that occurred during World War II, which explains the leading role of the K.T.A. firm and the emphasis in the plan on infrastructure rehabilitation and development. A second aspect is the 1948 Constitution. It had many socialist/welfare elements that were in sympathy with the views of Robert R. Nathan. Nathan had gained prominence as a planner of the wartime mobilization of the U.S. economy and as a liberal thinker.
The work of the K.T.A. team divides into three phases: delivery of the "Preliminary Report and Recommendations" in January 1952, the Pyidawtha Conference in August 1952, and delivery of the final report in August 1953. Around the time the final report was delivered, the Government of Burma shut down the U.S. technical assistance program to protest CIA support of remnants of the Kuomintang forces that had fled into northern Burma as the Peoples Liberation Army established control of mainland China. Significantly, the Nathan team continued to work in Burma for the Economic and Social Board, and the K.T.A. team was retained by the Ministry of National Planning. These arrangements ended in 1959 shortly after the increasingly dysfunctional U Nu government resigned and ceded authority to the Burmese Army.
It behooves us therefore to use, with all our energy, this Leftism as a means by which we shall bring to Burma that magic tree. But . . . when we plant that tree, we should not be guided by books of words but plant the seed in relation to Burmese soil, Burmese water and Burmese climate. We should not attempt to read books on how such trees are planted in England, or in Russia, or in China and try to emulate these efforts.
Louis Walinsky was the General ManagerChief Economist of the Robert R. Nathan
—U Nu in his May Day speech in 1948, quoted in Walinsky (1962)
team advising the government over the six years following the delivery of the Pyidawtha Plan. In his book on this period of Burmese history, Walinsky wrote that the Pyidawtha Plan "dominated the economic and social life of Burma throughout the remainder of the decade, and the fumbling of it contributed in 1958 to a political crisis of major proportions."
Two assumptions underlying the Pyidawtha Plan contributed mightily to the unhappy results. First, it explicitly assumed that the insurrections against the government would be ended by the beginning of 1954, but they continued with little respite. Second, it assumed that the price for Burma's rice exports would remain high. Instead, when the Korean War wound down in the mid-1950s, global demand dropped significantly and prices fell. As a result, the
amount of foreign exchange available to fund capital projects was considerably lower than expected.
A third factor may have been equally important in upending the implementation of the Pyidawtha Plan: the Burmese army was largely neglected. As a result, General Ne Win had no interest in continuing the plan after his successful coup in 1962.
Three features of the Pyidawtha Plan are worth recalling now. One is that the plan brought local communities into the planning process by giving annual development grants of $10,000 (unadjusted for inflation) to each township in the country. A second is that several main parts of the plan were implemented by establishing government corporations for minerals, industry, transportation, and agriculture. A third is that the terms of reference for the K.T.A. team ruled out work in the agriculture sector in the belief that the government did not need foreign expertise in this area. Nevertheless, the Pyidawtha Plan did put a great deal of emphasis on agriculture.
The breakdown of funding by sector for the programs and projects in the Pyidawtha Plan was as follows: power-27.3 percent, highways-23.3 percent, ports and waterways-16.1 percent, irrigation-12.8 percent, railways-7.7 percent, industry-6.5 percent, mining-3.3 percent, airways-2.1 percent, and telecommunications-0.9 percent. The goal was to increase national output by 90 percent in eight and one half years. Forty-two percent of the capital formation in this period was to be undertaken by the plan's programs and projects, with most of the rest by the private sector.
Implementation of the Pyidawtha Plan departed in several important respects from what was proposed. In particular, the government expanded from 45 to 65 the number of manufacturing industries to be promoted, and it set aside the three main power projects recommended in favor of others involving less hydroelectric generation and more thermal generation. Furthermore, little progress was made in implementing the proposed highway and irrigation projects. One factor that helped was a reparations agreement with Japan concluded in 1954 that committed Japan to providing $200 million (unadjusted for inflation) of Japanese goods and services over the next ten years plus $50 million of loan financing for joint Burmese-Japanese projects.
Macroeconomic weaknesses emerged in 1955 in the form of inflation and balance of payments strains. These led to the first P.L. 480 loan from the United States to Burma (for importing surplus cotton) and to the first drawing of foreign exchange from the International Monetary Fund by any member equal to 100 percent of the member's quota. Related support of note came from Israel and Russia in the form of barter arrangements.
The Pyidawtha Plan started to veer seriously off track in the 1957/58 budget crisis, compounded by an ill-fated decision by U Nu to introduce a new Four Year Plan. Implementation of the Pyidawtha Plan effectively ended in April 1958 when the ruling party (Anti-Fascist Peoples Freedom League—AFPFL) split into a "clean" faction and a "stable" faction. In September 1958, unable to get a majority to pass a budget, the parliament agreed to relinquish power to a caretaker government led by General Ne Win, the chief of staff of the armed forces. Ne Win's mandate was to restore order and hold new elections in six months. The elections did not take place until March 1960, and then they returned U Nu's faction to power. Sadly, factional differences again stood in the way of effective governance and in March 1962 General Ne Win seized power in a military coup.
From the Burma Star, August 20, 1954. "Prime Minister U Nu entertained at breakfast at his residence this morning four foreign consultants to the government. . . The Prime Minister had been holding consultations on Burma's development program, with particular reference to the provision of funds during 1954-1955 for social and economic development. …Mr. Nathan came dressed for breakfast in Burmese costume."
In his analysis of the failure of the Pyidawtha Plan, Walinsky devoted separate chapters to 11 problem areas: internal security, cultural adaptation, specialized manpower, finance, annual budgeting and programming, management of the public enterprises, supervision and coordination, public administration, central economic policy, foreign aid, and technical assistance. He also suggested that a strategy of development that placed more reliance on the private sector could have been more successful. Among the shortcomings was that the two-volume plan diverted attention of Burma's leaders from key needs such as civil order and did not give sufficient emphasis to how effective plan implementation would depend greatly on the active involvement of these leaders.
Implementation of the Pyidawtha Plan was not dependent on foreign aid at the outset, but 50 percent of the public sector's capital expenditures in the second half of the plan period was financed by foreign aid. The main donors, in order, were Japan, the United States, India, Russia, and the World Bank. From Walinksky's perspective, the biggest aid problems arose with U.S. assistance. These included onerous audit and end-use checks, disagreements over the specific projects to be funded with a development loan, and conditions imposed by the
Battle Act (restricting aid to countries selling strategic commodities to Communist countries) and by the Cooley Amendment (requiring 25 percent of P.L. 480-generated local currency to be loaned to American companies and their Burmese affiliates). In short, Burma's aid programs "seemed, for the most part, to have been centered on the several donors' needs, policies and objectives, rather than on Burma's. … Indeed it seemed almost as though [Burma's] experiences were causing her to withdraw, once again, toward her historic isolation."
Walinsky summarized the 1950s development planning experience as follows: "[The Pyidawtha Plan contributed] a goal, an approach, and a demonstration of the kinds of analysis, organization, procedures and policies necessary to do the job. The effectiveness of this contribution was limited by an incapacity or unreadiness on the part of those whose appreciation was most required to realize its full implications." He further noted that: ". . . this naïve tendency of the average Burman to expect welfare and abundance to flow automatically from the new-found independence was to persist and provide a major obstacle to real economic advance for some time to come."
Unfortunately, not all of the specialized foreign personnel who came to Burma were desirably motivated and oriented. Some, on the verge of retirement, were interested primarily in the money. Some were maladjusted persons who could not function satisfactorily at home. Still others were adventurers, innocent "do-gooders", impractical academicians, hypochondriacs, egotists, "milktoasts" overeager to please, or cynical sophisticates scornful of the environment in which they found themselves and of the Burmese.
—Louis Walinsky, Economic Development in Burma 1951-1960. p.552
It is worth noting that the Pyidawtha
Plan took a Keynesian approach that was quite different from the kind of development strategy advocated at the time by the eminent Burmese economist Hla Myint. As a professor at the University of Rangoon (after earning a Ph.D. from the London School of Economics) and an adviser to the National Planning Department, Hla Myint argued in the 1950s for an approach that was more private sector-oriented and that emphasized agricultural development over industrialization. He was skeptical of planning and favored a more organic approach to development. In two areas, however, the Robert R. Nathan approach and the Hla
Myint approach were similar: investing in infrastructure and improving the administrative capacity of the government.
Burma's national planning experiences over the 30 years (1958-1988) following the Pyidawtha Plan were even less satisfactory. When General Ne Win came to power in 1962, Burma turned sharply nationalist, isolationist, and socialist. Most modern industrial enterprises were nationalized. Five-year plans were announced but not implemented with any success. Burma's first demonetization (of three) took place in 1964, and the economy went into a long slide toward widespread poverty.
U.S. assistance was resumed in 1979 with the opening of a USAID mission. The USAID program focused on poverty alleviation (basic human needs, agriculture) and operated at a funding level of under $5 million per year until it was shut down after the 1988 coup. Other Western donor countries and Japan also stepped up their aid.
National development planning after 1988, under the SLORC and the SPDC, veered away from the socialist path back to market-oriented strategies sketched out in a new set of fiveyear plans. However, foreign aid from Western donors dried up in the wake of the military's suppression of the 1988 uprising, and toward the end of the decade Myanmar experienced severe balance of payments constraints, exacerbated by the financial crises in Thailand, Indonesia, and Korea in 1997 and by the economic sanctions imposed by Western countries. The balance of payments constraints were largely relieved when Myanmar started exporting natural gas to Thailand in 1998, but the economy continued to underperform relative to most other countries in Asia.
A second attempt to design and implement a comprehensive economic development plan— what might be labeled "Pyidawtha 2.0"—was launched in 2001 by the Government of Japan. For the next two years, a resident team in Yangon supplemented by a large number of Japanese experts worked with their Myanmar counterparts to produce the Myanmar Economic Structural Adjustment Program (MESAP). (The main elements are outlined in Exhibit 5.) The MESAP was delivered to the government in 2003 but it was never implemented for two reasons. First, the attack on Aung San Suu Kyi and her entourage at Depayin in May 2003 prompted Japan to suspend most of its aid to Myanmar. Second, the sacking of Prime Minister and Chief of Intelligence Khin Nyunt in October 2004 removed the project's major client from the scene and no other official replaced him.
What can be considered a fourth phase of national economic planning began with the inauguration of President Thein Sein and his cabinet in March 2011. The first steps in this phase are the subject of our report.
About the Authors
Lex Rieffel has been affiliated with the Brookings Institution since 2002. Prior to that he had been employed by the International Paper Company, USAID, the U.S. Treasury Department, and the Institute of International Finance. Earlier he had served in the U.S. Navy and the U.S. Peace Corps.
James W. Fox has worked as an independent consultant since retiring from USAID in 1999. In this period, he has done analytical studies and evaluations of donor projects for USAID, the World Bank, the OECD and others. In his career at USAID, he served in country missions in Costa Rica, Colombia and Uruguay, followed by a decade as Chief Economist for the Latin American Region. Subsequently, he headed USAID's central evaluation unit for economic growth projects. He also worked for short periods at the U.S. Treasury Department, the State Department, and the Senate Foreign Relations Committee. Earlier he served in the U.S. Peace Corps.
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RPS Group plc ("RPS" or "the Group")
Group Results for 2016
The Group's results for 2016 will be announced on 2 March 2017.
Unaudited management accounts indicate that the Group's trading result for 2016, as measured by PBTA, approached the level of the 2015 audited result. The second half performance in 2016 was materially better than the first half, having benefited from improved profitability in Energy, significant currency movements and a lower level of reorganisation cost.
The Group's 2015 result included a £7.0 million provision for doubtful debts in Energy. Towards the end of 2016 a significant proportion of the debt provided was recovered, resulting in the reversal of provisions totalling approximately £4.2m. Even excluding this provision reversal, the Group result was still well above current market expectations.
The Group's conversion of profit into cash in the year was, once again, strong. Year end net bank debt reduced to about £84 million, from £95 million at the end of June. As a result, year end leverage (net bank debt plus deferred consideration to adjusted ebitda) reduced to approximately 1.6 times, from 2.2 at the end of June. The Board anticipates recommending a final dividend per share which, if approved, would result in an unchanged full year dividend of 9.74 pence.
2 February 2017
Enquiries:
RPS Group plc Dr Alan Hearne, Chief Executive Gary Young, Finance Director
Tel: 01235 863206
Instinctif Partners Justine Warren Matthew Smallwood
Tel: 020 7457 2020
RPS is an international consultancy providing advice upon the development and management of the built and natural environment; the planning and development of strategic infrastructure, and the evaluation and development of energy, water and other resources. We have offices in the UK, Ireland, the Netherlands, Norway, the United States, Canada and Australia Asia Pacific and undertake projects in many other parts of the world.
This announcement contains certain forward-looking statements with respect to the financial condition, results of operations and businesses of RPS Group plc. These statements involve risk and uncertainty because they relate to events and depend upon circumstances that will occur in the future. There are a number of factors that could cause actual results or developments to differ materially from those expressed or implied by these forward-looking statements.
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Developing Plug-ins for Foxit Reader/PhantomPDF
Version 1.0
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Contents
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Prerequisites
Developer Audience
This document is targeted towards C/C++ developers using the SDK to create plugins for Foxit Reader/Phantom. It assumes the developer is familiar with C/C++ and is an experienced user of Foxit Reader/Phantom.
Supported Environments
MFC
Dynamically linked libraries (DLL) that link to Microsoft Foundation Classes (MFC) need to use the macro AFX_MANAGE_STATE to switch the MFC module state correctly. This is done by adding the following line of code to the beginning of functions that are exported from the DLL:
```
AFX_MANAGE_STATE(AfxGetStaticModuleState());
```
If this macro is not used, the plugin resources will fail to load in debug mode. The program will work until a function return is encountered. The AFX_MANAGE_STATE macro should not be used in regular DLLs that statically link to MFC or in extension DLLs.
Additional Documentation
Please refer to the Foxit PhantomPDF API Reference for a detailed description of the Foxit Reader/PhantomPDF Plugin API.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Overview
Purpose
This document covers how to develop Foxit Reader/Phantom plugins with the SDK. Plugins allow users to enhance the functionality of Foxit Reader/PhantomPDF. Additional features that are beyond the basic Foxit Reader/PhantomPDF feature set can be added through plugins. Developers will learn what a plugin is and how it integrates with Foxit Reader/PhantomPDF.
What can Foxit Reader/PhantomPDF Plugins do?
Customize the Foxit Reader/PhantomPDF User
Interface
Developers can modify the Foxit Reader/PhantomPDF user interface through plugins. New menu items and tool bar buttons can be added to the existing interface. Custom actions can be programmed for specific user interface commands. Please refer to the "Menu" and "Toolbar" sample projects for examples of custom user interface changes done through plugins.
Manipulate PDF Documents
Here are a few PDF manipulations that can be done through plugins,
- Open a PDF document in an external dialog.
- Dynamically add and remove pages from an existing PDF document.
- Edit all of the elements contained in a PDF document.
- Set up security policies to control user permissions for PDF documents.
Please refer to the "Document" and "DRM" sample projects for examples of PDF manipulations done through plugins.
Plugin Architecture
Foxit Reader/PhantomPDF provides the host environment in which a plugin application
Foxit PhantomPDF Plug-in SDK
Developing Plugins
exists. Foxit Reader/PhantomPDF shares its resources with plugins through the Foxit Reader/PhantomPDF Core API. The Core API has control over items such as the menu bar, page view, and PDF document operations. Through these resources, plugins can make modifications to Foxit Reader/PhantomPDF. The following diagram shows the relationship between Foxit Reader/PhantomPDF and plugins.
Plug-ins are dynamically-linked extensions to Foxit Reader/PhantomPDF and are written using the Core API. The Core API is an ANSI C/C++ library. Plugins are dynamically-linked libraries (DLLs) on the Microsoft Windows platform.
There are two ways to install custom plug-ins for Foxit Reader/PhantomPDF to load it:
1. Place the plug-in in "plugins" directory which is in the same directory of Foxit Reader/PhantomPDF.
2. Place the plug-in in a specified directory and then create registry entries to associate it. The format of the registry entries is as follows:
For 64bit Windows, to make your plug-in available for all Windows users, create a registry key as following:
[HKEY_LOCAL_MACHINE\SOFTWARE\Wow6432Node\Foxit Software\PhantomAddins\YourPlgName]
For 32bit Windows, to make your plug-in available for all Windows users, create a registrykey as following:
[HKEY_LOCAL_MACHINE\SOFTWARE\Foxit Software\PhantomAddins\YourPlgName]
For 64bit Windows and 32bit Windows, to make your plug-in available for current Windows users, create a registry key as following:
[HKEY_CURRENT_USER\Software\Foxit Software\PhantomAddins\YourPlgName]
Foxit PhantomPDF Plug-in SDK
Developing Plugins
After created the registry key correctly, set the key-value pair to "YourPlgName" key as following:
```
"FriendlyName "="YourPluginName" "Description" = "The description of your plugin" "PIPath "="The full path of your plug-in" "LoadBehavior"= "3"
```
Then Foxit Reader/PhantomPDF must be restarted in order for the plug-ins to take effect.
The number of plug-ins that Foxit Reader/PhantomPDF can load at any specified time is limited. The host operating system may have a limitation on the total number of Thread Local Storage (TLS) slots available to a single process. This is a limitation of the multi-threaded model used by the Win32 API. More available TLS slots on a system equates to more plug-ins being loaded by Foxit Reader/PhantomPDF. TLS slots are allocated for each DLL or plugin that is loaded by invoking the Windows LoadLibrary function. LoadLibrary will fail if all of the TLS slots for a given process are filled. Additional information about TLS can be found at http://msdn.microsoft.com/enu s / l i brary/ms686749(VS.85).aspx
Foxit Reader/PhantomPDF Core API
The Foxit Reader/PhantomPDF Core API encapsulates resources (e.g. user interface, basic libraries, etc.) into three separate layers: Foxit Support layer, Foxit Portable Document layer, and Foxit Reader/PhantomPDF layer. Each layer provides method calls for developers to operate on different objects within a PDF document. All of these objects are opaque data types. The Core API is implemented as a standard ANSI C programming library and is supported on Windows 32 bit platforms. The diagram below shows how the three layers of the Core API fit together.
Foxit Reader/PhantomPDF Layer
User interface customizations are done at the Foxit Reader/PhantomPDF (FRD) layer. The
Foxit PhantomPDF Plug-in SDK
Developing Plugins
FRD layer encapsulates the user interface objects used in Foxit Reader/PhantomPDF (e.g. FR_MenuBar, FR_Menu, FR_PageView, FR_ToolBar). Here are some examples of application-level tasks that can be done with the FRD layer,
- Add menus, menu commands, and toolbar buttons.
- Open and close files.
- Display simple dialog boxes.
Foxit Portable Document Layer
Modifications to PDF documents are handled in the Foxit Portable Document (FPD) layer. The FPD layer encapsulates many of the PDF objects used in Foxit Reader/PhantomPDF (e.g. FPD_Document, FPD_Page, FPD_Annot, FPD_Dictionary). Here are some examples of PDF modifications that can be done with the FPD layer,
- Create PDF documents.
- Insert pages into an existing PDF document.
- Add annotations.
Plugins can modify almost all of the data inside a PDF file since the FPD layer provides access to this content.
Foxit Support layer
Data management is handled by the Foxit Support (FS) layer. The FS layer provides platform-independent data types and methods that support the FRD and FDP layers. The FS layer encapsulates the basic common objects used by the other two layers (e.g. FS_Rect, FS_AffineMatrix, FS_PtrArray, FS_ByteArray, FS_ByteString).
Foxit PhantomPDF Plug-in SDK
Developing Plugins
"Hello World" Plugin
In order to cover the basics of plugin development, this manual uses three example demo projects. The "Starter" demo is a functional skeleton for all plugin applications. The "Menu" demo adds a menu item to the functional skeleton. The "Document" demo, makes use of the menu item example and displays "Hello World" on the document. Developers are encouraged to use the demo projects as a base for Foxit Reader/PhantomPDF plugins. Please download the demo projects and have them available for viewing while reading through this guide. This is required for a complete understanding of this section since it makes multiple references to the demo code. The demo projects are available for download in Visual C++ 6.0 (.dsw) format, and can be used with any version of Visual C++ 6.0 and above.
For help with using Integrated Development Environments (IDEs) other than Visual Studio for compiling these demos, please contact [email protected]
Visual Studio Project Settings
In order to properly develop and debug any Foxit Reader/PhantomPDF plugin, Visual Studio must be configured correctly. Below are the default Visual C++ 6.0 project settings used in the demos.
* Open the "Project Settings" dialog box for the demo project by going to Project > Settings
* Click on the C/C++ tab and select the Preprocessor category.
* Replace any "_MBCS preprocessor" definition with "UNICODE", "_UNICODE".
* Click on the Link tab and select the General category.
* In the Output File Name text field, enter the full path to your plugin. The plugin path must match the installation directory of Foxit Reader/PhantomPDF on your system. The default value is "\Program Files\Foxit Software\Foxit Reader(\Foxit PhantomPDF)\plugins". The extension is ".fpi".
* Click on the Debug tab and select the General category.
* In the Executable for debug session text field enter the full path to the Foxit Reader.exe/Foxit PhantomPDF.exe that will load the plugins upon startup. Foxit Reader.exe/Foxit PhantomPDF.exe must be located at the same directory level as the plugins folder.
* Click OK to apply the new changes and exit the "Project Settings" dialog.
* Go to Debug > Rebuild-All.
* It is now possible to add breakpoints and debug the plugin project like a normal application. Visual Studio will launch Foxit Reader/PhantomPDF when a debug session begins.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Please note that there are special considerations if the plugin DLL needs to link dynamically with MFC DLLs, which can be found in the MFC section.
Compilation Errors with IDEs Older than Visual C++ 6.0
Integrated Development Environments (IDEs) later than Microsoft Visual C++ 6.0 may produce the following compilation errors:
Compilations errors from Visual Studio 2008
To fix these errors, you'll need to change the compilation options such that Treat wchar_t as a Built-in Type is set to No. Here are instructions on how to configure this in Visual Studio 2008,
Go to Project > [project name] properties > Configuration Properites > C/C++ > Language > and set Treat wchar_t as Built-in Type to No (/Zc:wchar_t-).
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Setting Treat wchar_t as Built-in Type in Visual Studio 2008
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Getting Started with the Demo Projects
This section covers the "Starter" demo, which contains the minimum functionality each plugin must implement in order to communicate with Foxit Reader/PhantomPDF. The main files for this demo a "Starter.cpp" and "PIMain.cpp". All of the other files are auto generated during the Visual C++ project creation process. Much of the code in "Starter.cpp" and "PIMain.cpp" is also auto generated, and will be familiar to MFC application developers.
The relevant section of code starts with the compiler directive extern "C" {…}. Note that this directive encapsulates several functions, which are listed below.
- PlugInMain
- PISetupSDK
- PIHandshake
- PIExportHFTs
- PIImportReplaceAndRegister
- PIInit
- PIUnload
These functions make up a "C style" interface (hence the compiler directive) that Foxit Reader/PhantomPDF uses during plugin initialization. Every plugin must maintain this interface. The initialization procedure, or "handshaking", is handled by the PlugInMain function, which is the main entry point of plugin DLLs. The following functions in the "Starter" demo have default implementations that provide Foxit Reader/PhantomPDF with pointers to user defined plugin specific functions,
- PlugInMain
- PISetupSDK
- PIHandshake
It is the developer's responsibility to add custom application logic to these plugin specific functions. Since the "Starter" plugin serves as a skeleton plugin application, these functions are left blank. For example, if the "Starter" demo allocated any memory, it would need to release that memory when the user closes Foxit Reader/PhantomPDF. When Foxit Reader/PhantomPDF is closed, the PIUnload() function is invoked. The developer would add code in PIUnload() to de-allocate the memory.
Plug-ins must define a pointer reference to Foxit Reader/PhantomPDF's Core HFT Manager and a pointer to receive the plug-in unique ID. Here is the line of code from Starter.cpp that defines the CORE HFT Manager pointer and the unique ID pointer.
```
FRCoreHFTMgr *_gpCoreHFTMgr = NULL; void* _gPID = NULL;
```
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Adding Menu Options to the Demo
The "Menu" demo covers how to add a new item to an existing Foxit Reader/PhantomPDF menu. It also shows how to add an entirely new menu to Foxit Reader/PhantomPDF.
Note that "Menu.cpp" starts with the skeleton application provided by "Starter.cpp" and adds application specific logic to functions that were left blank by default. The interface used by Foxit Reader/PhantomPDF to initialize the plugin is the same with the exception of the PIInit function. This function now implements user defined functionality upon startup by making calls to AddMenuItemToExistingMenu and AddMenuToMenuBar.
These two functions both work in a similar way.
1. Retrieve the current Foxit Reader/PhantomPDF menu-bar.
2. Retrieve an index, and then select the menu option at that index (add to existing menu only)
3. Create a new menu item and add an icon if desired, using Plugin SDK defined types.
4. Set menu item attributes such as Title and Description.
5. Set the menu item callbacks to user defined functions (Similar to a message map).
6. Add the menu item to Foxit Reader/PhantomPDF.
These operations are handled by menu specific API functions provided by the Foxit Plugin SDK (e.g. FRMenuItemSetExecuteProc). The developer is then left to create the callback function for that particular menu item. Here are the callback functions from the demo,
- OnClick
- IsCheck
- IsEnable
The OnClick callback displays a message box to the user. The IsCheck and IsEnable are optional callbacks that change the user's view of the menu item.
The last user defined function in the "Menu" demo is GetBMPFromRes.This function implements a plugin specific method for retrieving a menu item's image from a PDF resource. This allows the SDK user to add images in a non-system specific way. This means that menu item images do not require full .ico files.
For additional information on the different menu options available through the Foxit Plugin SDK, please refer to the "Menus" section under Additional Demos.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Menus that work directly with PDF documents
The "Document" demo covers PDF operations that allow a developer to re-render PDF pages. This section focuses on creating a "snapshot" or bitmap image file from a PDF page.
Please note that the relevant parts of "Document.cpp" are nearly identical to "Menu.cpp", except that the menu names differ. In the interest of clarity, the similarities between menu callbacks are illustrated below.
This section is covers the "Document->External Window->Render to Bitmap" menu option.
When the ExternalWindowExecuteProcProc callback is fired, a Plugin SDK API function is invoked to fetch the open document information from Foxit Reader/PhantomPDF.
```
FR_Document frDoc = FRAppGetActiveDocOfPDDoc(); FPD_Document pdfDoc = FRDocGetPDDoc(frDoc);
```
Once the document information is retrieved, the callback launches a modal dialog. This modal dialog is a standard MFC dialog class that is described in "CDisplayPDFDlg.cpp". The dialog class re-renders the PDF in the modal dialog window and allows the user to perform standard reading actions, much like a "mini" Reader/PhantomPDF. The function we are interested in is saving a bitmap image of the current PDF page. This function is presented to the user as a single button that is mapped to an event handler through the message map. The event handler OnButtonRenderToBMP then calls RenderPDFToBitmap. The RenderPDFToBitmap function contains application logic that is common to many operations that can be done to PDF documents using the Plugin SDK. Here's a summary of the steps found in that function,
1. Create a memory bitmap (type: FS_DIBitmap) and associate it with a device context.
2. Set up definitions (read: pointers) needed for document operations. This includes things like FPD_Page and FPD_AnnotList.
Foxit PhantomPDF Plug-in SDK Developing Plugins
3. Retrieve memory locations into previously defined pointers using Foxit Plugin SDK functions like FPD_DocGetPage.
4. Render the page and annotations to the previously defined device context with FPDRenderContextRender. Note that this function fills the memory bitmap associated with the device context.
5. Pass the now filled memory bitmap to the SaveAsBmp function.
Any PDF operations other than rendering can replace step 5, but will require repeating steps 1-4 at a later time to reflect document changes.
The FS_DIBitmap is a typedef for a standard Device Independent Bitmap. The SaveAsBmp function uses MFC and Windows standard methods to retrieve the size of the BITMAPINFOHEADER and BITMAPFILEHEADER. These values, which are a part of the DIB, are packaged along with the image data stream into a *.BMP file. The resulting output is a "snapshot" of the current PDF page.
Other PDF document operations can be implemented in a similar fashion, repeating steps 1 through 4 for proper operations. For a complete listing of all available public application and document callbacks, please see the fr_appExpT.h, fpd_docExpT.h, and fpd_renderExpT.h files.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Plugin Basics
Methods Every Plugin Must Have
A plugin must contain a source file that defines the following methods:
Foxit PhantomPDF Plug-in SDK
Developing Plugins
These methods are invoked when Foxit Reader/PhantomPDF attempts to load a plugin. Please refer to "Starter.cpp" in the "Starter" sample project for an example source file that defines all of these methods. The core plugin functionality is defined in the PIInit method. It is inside PIInit that Core API or extension API function calls can be made.
Plugin Loading
When Foxit Reader/PhantomPDF starts, it scans this directory for plugins and loads them. Foxit Reader/PhantomPDF plugins must be placed in the following directory,
```
\Program Files\Foxit Software\Foxit Reader\plugins
```
Foxit Reader/PhantomPDF must be restarted in order for the plug-ins to take effect.
The method invokes four other methods during plugin initialization,
```
PlugInMain PISetupSDK PIHandshake PIExportHFTs PIInit
```
If any of these steps fail or Foxit Reader/PhantomPDF exits, the PIUnload routine is invoked. Memory used by the plugin can be de-allocated in PIUnload.
Handshaking
During the plugin initialization, the PIHandshake routine is invoked to perform a handshake with the host application. Handshaking does four things:
- Complete exporting extension HFTs that can be invoked by other plugins.
- Import extension HFTs
- Invoke all of the HFTs.
- Free allocated memory.
These four methods must be implemented for the handshake process:
```
FS_BOOL PIExportHFTs (void); FS_BOOL PIImportReplaceAndRegister(void); FS_BOOL PIInit (void); FS_BOOL PIUnload (void);
```
If any of these methods are not implemented, PIHandshake will return false and Foxit Reader/PhantomPDF will fail to load the plugin.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Host Function Tables (HFT)
A Host Function Table (HFT) is a mechanism for managing the Core API methods. It is implemented as a pointer array that stores the addresses of Core API methods. The methods are grouped together based on the types of objects they are associated with. Each group of methods has a specific HFT for performing actions on a specific object type. All of these HFTs are managed by the Core HFT manager. The manager indexes the HFTs by category. Foxit Reader/PhantomPDF consists of numerous internal HFTs that provide plugins with an efficient way to invoke their methods. Here is a high level summary of the HFT API method search algorithm,
1. The Core HFT Manager uses a category selector to locate the specific HFT.
2. The manager then uses the method selector to locate the specific method.
In addition to invoking Core API methods, extension HFTs can be created for individual plugins. Extension HFTs allow the methods of a specific plugin to be accessible to all other plugins. The following is a diagram of the HFT mechanism.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Global Core HFT Manager
User-defined plugins must contain a global Core HFT Manager pointer. If this pointer is not defined, the plugin will fail to compile. This pointer is defined in the PISetupSDK method. PISetupSDK is called by the host application to initialize the plugin.
```
/*Core HFT Manager.*/ FRCoreHFTMgr *_gpCoreHFTMgr = NULL; FS_BOOL PISetupSDK(FS_INT32 handshakeVersion, void *sdkData) { if(handshakeVersion != HANDSHAKE_V0100) return FALSE; PISDKData_V0100 *pSDKData = (PISDKData_V0100*)sdkData; /* Points to core HFT manage from Foxit Reader/PhantomPDF */ _gpCoreHFTMgr = pSDKData->PISDGetCoreHFT(); /* Set the plugin's handshake routine, which is called next by the host application */ pSDKData->PISDSetHandshakeProc(sdkData, &PIHandshake); return TRUE; }
```
Extension HFTs
Extension HFTs are mechanisms that allow plugins to invoke other plugins. The invoked plugin must create its own extension HFT. This section will cover extension HFTs in more detail. To make a plugins' set of methods accessible to other plugins, an extension HFT should be created to manage these methods. Create the extension HFT by invoking,
FSExtensionHFTMgrNewHFT
Add the new extension HFT to the host environment by invoking,
FSExtensionHFTMgrAddHFT
The following steps show the entire process. Steps 2 through 4 must be implemented in the plugin basic routine PIExportHFTs.
1. Define a group of methods.
```
void Function1(); void Function2();
```
Foxit PhantomPDF Plug-in SDK
Developing Plugins
2. Create a new extension HFT
```
FS_HFT extensionHFT = FSExtensionHFTMgrNewHFT(2); // In step 1, we defined 2 methods, so the value "2" is passed to the function // to indicate the capacity of the new HFT.
```
3. Add the HFT to the host environment.
```
FSExtensionHFTMgrAddHFT("name", VERSION, extensionHFT);
```
4. Add the address of the methods to the extension HFT.
```
FSExtensionHFTMgrReplaceEntry(extensionHFT, 0, &Function1); FSExtensionHFTMgrReplaceEntry(extensionHFT, 1, &Function2);
```
5. From another plugin, you can access the method and invoke it in the
```
PIImportReplaceAndRegister routine.
```
```
typedef void (*FunctionPROTO)(); extensionHFT = FSExtensionHFTMgrGetHFT("name", VERSION); FunctionPROTO pFunction1 = FSExtensionHFTMgrGetEntry(extensionHFT, 0); pFunction1();
```
For a detailed example, please refer to the sample project "Extension HFT". In this sample project, the methodsTmpl.h header file is a template that describes groups of methods. It is used to generate the method selector that manages the indices of the methods. It also generates the method prototypes.
The methodsCall.h header file contains examples of how to,
- Generate a method selector.
- Generate prototypes for the plugin methods.
Notice that the methods are defined as macros making it easier for other plugins to invoke them. Here are the steps for referencing these macros from other plugins,
- Include the methodsCalls.h header file.
- Invoke the FSExtensionHFTMgrGetHFT to get the HFT by name.
- Reference the macros defined in methodCalls.h
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Header Files
Foxit PhantomPDF Plug-in SDK header files must be included in your plugin project. You can find the header files in the following directory:
Foxit PhantomPDF Plug-in SDK\PluginSupport\Headers
The following table lists the SDK header files and gives a simple description. In general, including fr_callsInclude.h and fs_pidata.h header files is enough.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Core API Terminology
Objects
All the Core API objects are defined as a pointer that represents an internal real object. Objects are obtained by Core API methods. Internal objects are opaque so objects' data cannot be directly accessed. Manipulation of objects is achieved by calling corresponding Core API methods. Objects are passed by reference (vs. passed by value).
Objects names are typically defined in the following structure:
```
<layer>_<name> (Example: FPD_Document) Layer : identifies the Core API layer (FPD = Foxit Portable Document layer) Name : object’s name.
```
Methods
```
Most Core API method names are typically defined in the following structure: <layer><object><action><thing> (example: FPDDocGetUserPermissions) layer: identifies the Core API layer (FPD = Foxit Portable Document layer) object: identifies the object upon which the method acts (Doc ) action: specifies an action that the method performs (Get ) thing: specific to each method. (UserPermissions) May not always be present.
```
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Additional Demos
This section provides a detailed introduction to plugin development involving these Foxit Reader/PhantomPDF components,
- menus
- toolbars
- documents
- navigation panels
- event notifications
It describes the individual objects that make up each of these components and the API methods that are available for modifying them. Some of the material is an expanded explanation of topics discussed in the "Hello World" Plugin section. The Core API provides a number of structures and functions for accessing the Foxit Reader/PhantomPDF components and their individual objects (see the Foxit Reader/PhantomPDF PDF API Reference for a complete list).
Menus
Menu Objects
Foxit PhantomPDF Plug-in SDK
Developing Plugins
The table below lists the API structures and functions that are used to access the menu objects in the picture above.
Menu Item Callback Functions
When creating a custom menu item with the Foxit Reader/PhantomPDF Core API, the developer must also implement the application logic in the menu item callback function. A menu item can invoke three different callback functions through the Core API,
```
typedef void (*FRExecuteProc)(void *clientData); typedef FS_BOOL (*FRComputeEnabledProc)(void *clientData); typedef FS_BOOL (*FRComputeMarkedProc)(void *clientData);
```
When a menu item is selected, the FRExecuteProc callback is invoked. It is the developer's responsibility to implement application logic for this callback function.
The developer can control whether a menu item is enabled by implementing the FRComputeEnabledProc callback. Set this callback function to return true to enable the menu item and false to disable it.
For menu items that have check marks associated with them, the developer can control whether it is checked by implementing the FRComputeMarkedProc callback. Set this callback function to return true to check the menu item and false to uncheck it.
Menu Sample Project
The "Menu" sample project is a working example of the steps covered in the following sections. Please refer to it for additional information.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
How to Add a Menu Item to an Existing Menu
1. Get the Foxit Reader/PhantomPDF menu bar.
2. Get the last menu in the menu bar.
3. Get the menu item icon.
4. Create a new menu item.
5. Set the tool tip to the menu item.
6. Set the description to the menu item.
```
FR_MenuBar menuBar = FRAppGetMenuBar();
```
```
int nCount = FRMenuBarGetMenuCount(menuBar); FR_Menu menu = FRMenuBarGetMenuByIndex(menuBar, nCount - 1);
```
```
FS_DIBitmap bitmap = GetBmpFromRes(IDR_SAYHELLOICON);
```
```
FR_MenuItem menuItem = FRMenuItemNew("Say Hello", L"Say Hello", bitmap, false, NULL);
```
```
FRMenuItemSetToolTip(menuItem, L"Say Hello Tooltip");
```
FRMenuItemSetDescribeText(menuItem, L"Say Hello Description");
7. Set the execute callback to the menu item.
FRMenuItemSetExecutePro(menuItem, &OnClick);
8. Set the compute-enabled callback to the menu item.
FRMenuItemSetComputeEnabledPro(menuItem, &IsEnable);
9. Set the compute-marked callback to the menu item.
10. Add the new menu item to the end of the menu.
```
FRMenuItemSetComputeMarkedProc(menuItem, &IsCheck);
```
```
int nMenuItemCount = FRMenuGetMenuItemCount(menu); FRMenuAddMenuItem(menu, menuItem, nMenuItemCount);
```
How to Add a New Menu to the Menu Bar
1. Get the Foxit Reader/PhantomPDF menu bar.
```
FR_MenuBar menuBar = FRAppGetMenuBar();
```
2. Create a new menu.
FR_Menu menu = FRMenuNew(NULL);
Foxit PhantomPDF Plug-in SDK
Developing Plugins
3. Add a menu to the end of the menu bar.
```
int nCount = FRMenuBarGetMenuCount(menuBar); FRMenuBarAddMenu(menuBar, menu, L"new menu", "new menu", nCount);
```
How to Get the Name Associated to Menu Item
All the menus and menu items of Foxit Reader/PhantomPDF use a name attribute as their unique identifier. To get the name of a specified menu item, you should retrieve all the menus or all the menu items if needed.
The following code is an example:
```
// Retrieve the menu bar in Foxit Reader/PhantomPDF FR_MenuBar menuBar = FRAppGetMenuBar(); if(NULL == menuBar) return; // Retrieve all the menus in menu bar FS_INT32 nMenu = FRMenuBarGetMenuCount(); for(FS_INT32 i=0; i<nMenu; i++) { FR_Menu menu = FRMenuBarGetMenuByIndex(menuBar, i); FR_MenuItem menuItem = FRMenuGetParentMenuItem(menu); FS_ByteString bsMenuName = FSByteStringNew(); FRMenuItemGetName(menuItem, &bsMenuName); //Now, you get the menu name, save it if it is you want. ... ... //end save FSByteStringDestroy(bsMenuName); // Retrieve all the menu items of the menu FS_INT32 nItem = FRMenuGetMenuItemCount(menu); for(FS_INT32 n=0; n<nItem; n++) { FR_MenuItem mItem = FRMenuGetMenuItemByIndex(menu, n); FS_ByteString bsItemName = FSByteStringNew(); FRMenuItemGetName(nItem, &bsItemName); //Now, you get the menuItem name, save it if need. ... ... //end save FSByteStringDestroy(bsItemName);
```
Foxit PhantomPDF Plug-in SDK
Developing Plugins
```
// Retrieve all the submenu items of the menu item FR_Menu subMenu = FRMenuItemGetSubMenu(mItem); if(NULL != subMenu) { //continue looking up } } }
```
Tool Bar
Tool Bar Objects
The table below lists the API objects and functions that are used to access the tool bar objects in the picture above.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Tool Button Callback Functions
Similar to custom menu items, tool bar buttons require the developer to implement the application logic in the tool bar button callback function. A tool bar button can invoke three different callback functions through the Core API,
```
typedef FS_BOOL (*FRExecuteProc)(void *clientData); typedef void (*FRComputeEnabledProc)(void *clientData); typedef FS_BOOL (*FRComputeMarkedProc)(void *clientData);
```
When a user clicks on a tool button, the FRExecuteProc callback is invoked. It is the developer's responsibility to implement application logic for this callback function.
The developer can control whether a tool button is enabled by implementing the FRComputeEnabledProc callback. Set this callback function to return true to enable the menu item and false to disable it.
For tool buttons that have check marks associated with them, the developer can control whether it is checked by implementing the FRComputeMarkedProc callback. Set this callback function to return true to check the menu item and false to uncheck it.
Toolbar Sample Project
The "Toolbar" sample project is a working example of the steps covered in the following section. Please refer to it for additional information.
How to Create a New Tool Bar
This section covers how to create a new tool bar and add a new button to the tool bar.
1. Create a new tool bar.
```
FR_ToolBar toolBar = FRToolBarNew("new tool bar", L"new tool bar", FALSE);
```
2. Create a new tool button.
```
FR_ToolButton toolButton = FRToolButtonNew("new tool button", FALSE);
```
3. Get the tool button icon.
```
FS_DIBitmap bitmap = GetBmpFromRes(IDR_PDF_TOOLBUTTON);
```
4. Set the icon to the tool button.
```
FRToolButtonSetIcon(toolButton, bitmap, NULL);
```
Foxit PhantomPDF Plug-in SDK
Developing Plugins
5. Set callbacks to the tool button.
```
FRToolButtonSetExcuteProc(toolButton, &OnClick); FRToolButtonSetEnableProc(toolButton, &IsEnable); FRToolButtonSetCheckProc(toolButton, &IsCheck);
```
6. Add the tool button to the tool bar.
FRToolBarAddButton(toolBar, toolButton);
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Documents
This section will cover the main document structures provided by the Core API for manipulating PDF documents.
PDF Document Model
PDF Document View
Document Sample Project
The "Document" sample project shows how a PDF document can be manipulated (e.g. zoom in, zoom out, rotate clockwise, and rotate counterclockwise) using the FR_Document view structure. It also provides an example of using the FPD_Document structure to open a PDF document in an external window. The sample also includes a button for rendering a PDF document to a bitmap.
Display a PDF document in an external window using the "Document" sample plugin.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Event Notifications
Plugins can register to receive notifications when events occur in Foxit Reader/PhantomPDF. The plug-in must provide a callback function for the notification. Callback functions are invoked by Foxit Reader/PhantomPDF when the corresponding event occurs. Developers can add custom application logic in the callback function to control how the event is handled. The Core API provides a number of functions for registering to receive event notifications. For example,
FRAppRegisterPreferencePageHandler
RegisterNavPanelView
RegisterAppEventHandler
RegisterDocHandlerOfPDDoc
The header file fr_appCalls.h contains a complete list of registration functions. Please refer to the "Event Notification" sample project for additional information.
Navigation Panel
Navigation Panel Objects
Navigation Panel
Panel View
Button of Panel Page
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Navigation Panel View Sample Project
Plugins can receive notifications when panel events occur (e.g. the activation of panel view, the rotation of a page view, etc). Panel events invoke callback functions that execute application logic to perform a specific action. Developers can register for event notifications by adding custom application logic to these callback functions.
The "Navigation Panel View" sample project covers how to create a navigation panel view and shows how panel view event notifications should be handled.
Here is a high level outline of the application logic for the project,
1. Define the callback functions that will be invoked by Foxit Reader/PhantomPDF when a panel view events occur.
2. Define a record that contains the addresses of all panel view event callback functions.
3. Register to receive notifications of (navigation panel view) events when they occur. As long as there are plugins that are registered to receive notifications from callbacks stored in a particular record, that record cannot be de-allocated. Registration is done in the PIInit routine by invoking FRAppRegisterNavPanelView.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Enabling a Foxit Reader/PhantomPDF Plug-in
This section provides a detailed introduction to enabling a plug-in in Foxit Reader/PhantomPDF. The plug-in must be certified if it needs to invoke the restricted interfaces that perform editing functions.
Applying for Digital Certificate
To certify a plug-in, apply for a digital certificate. To apply for a digital certificate, perform the steps as follows:
1. Finish development of the plug-in.
2. The plug-in must meet the criteria established by the Foxit Reader/PhantomPDF Integration Key Licensing Aggrement. Fill out agreement and send it to [email protected]. There is a fee involved. More information can be found at http://www.foxitsoftware.com.
Once agreement is approved, you will receive a contract package that includes information that is unique to you.
3. Create the public/private key pair file using the KeyGen tool provided in the Foxit PhantomPDF Plug-in SDK.
4. Open the key pair file and extract the public key, then send the public key to [email protected]. The public key will be used to generate a certificate that will be sent back to you. Using the certificate, the plug-ins which meet the criteria established by the Foxit Reader/PhantomPDF Integration Key Licensing Agreement can be enabled.
5. The received digital certificate must be added to the plug-ins. This is covered in the following section.
Note: If you want to release the plug-in for Foxit Reader, step 3 and 4 must be ignored. You will receive the digital certificate in step 2.
Foxit PhantomPDF Plug-in SDK
Developing Plugins
Certifying a Plug-in
Perform the following steps to certify a plug-in:
1. After receiving the digital certificate, open the dummy.rc file and the resource file of the plug-in project in a text editor. Copy the content of dummy.rc to the resource portion of your plug-in.
2. Place the digital certificate in the directory "Plug-in Project/res".
3. Rebuild your plug-in. The plug-in will be created with the digital certificate and dummy digest data, which will be replaced with real data in the next step.
4. Run PISignatureGen.exe. Input the path to the plug-in and the path to the key pair file generated above. Click on the "Generate Now" button to sign the plug-in.
Now, the plug-in can be loaded by Foxit Reader/PhantomPDF. Step 4 must be repeated each time the plug-in is rebuilt.
Note: If you want to release the plug-in for Foxit Reader, step 4 must be ignored. Instead, you must send the plug-in to [email protected]. Foxit Corporation will sign the plug-in for you and send it back to you.
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Film festival to re-emerge over four days in 2015
By Daniel Hartill, Staff Writer
Published on Monday, Nov 17, 2014 at 9:09 pm | Last updated on Monday, Nov 17, 2014 at 9:09 pm
LEWISTON — The community's all-volunteer film festival plans to reemerge as a four-day event from Thursday, April 9 to Sunday, April 12.
The second annual Emerge Film Festival is scheduled to kick off with a 10th anniversary screening of the poetic art film "Cleophas and His Own," based on Lewiston-native Marsden Hartley's writing and paintings. Other plans call for an expansion of the student film festival and best-of screenings on the final day.
"We are so thrilled to be continuing to build on the success of our first festival," Emerge board President Laura Davis said in a prepared statement. "We got such a great response from our local community, sponsors, film enthusiasts, and — most importantly — filmmakers with our inaugural event and we are delighted to be growing the festival to four days this year and really celebrate independent film in Maine."
Though the 2015 festival is only five months away, it will follow an inaugural event that hurriedly replaced the Lewiston Auburn Film Festival.
Just weeks before that festival was to be held, director Joshua Shea was arrested and charged with possession of sexually explicit images of someone younger than 12. Several days after his arrest, that festival was cancelled and Emerge was created.
Within 10 days, Emerge had nonprofit status, a board of directors and had already expended from one day to two. Tickets went on sale at three weeks. And at the 10-week mark, filmmakers began arriving.
The Emerge festival sold more than 1,000 tickets and ended in the black. Its 2015 festival aims to do even better.
Though only about a dozen films have been submitted, Greenlaw and others expect hundreds more to arrive as the festival issues its call for entries in the coming days.
Greenlaw said the plan for 2015 includes the same broad focus, encompassing many genres of movies. However, more emphasis will be placed on student films. Though details are still being worked out, organizers hope to give local high schoolers a chance to meet and talk with some of the visiting filmmakers. And, as they did last year, students will be given free admission.
Few of today's students were watching movies when "Cleophas and His Own" was screened in Lewiston 10 years ago. Connecticut filmmaker and opera singer Michael Maglaras shot his Hartley movie at Maine locations, including the Washburn Norlands Living
History Center in Livermore.
Organizers say details on the rest of the festival, including an awards ceremony and ticket sales, will follow in the coming months.
[email protected]
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Miss Collins' 1 st Grade Classroom News
Important Dates:
Specials for the week:
.
- Late Start Mondays: school begins at 9:05am Dismissal remains the same.
o September 28
o October 5, 12, 19, 26
- 9/30: Community Luncheon: *See back for details*. There will be over 100 community members at Mason to talk with our superintendent about our wonderful school district. If you and your child can walk or bike to school that day it will help our parking lot significantly. Thank you!
- Monday: Music
- Tuesday: Gym (bring shoes)
- Wednesday: Art
- Thursday: Library (bring book)
- Friday: Music
Weekly Words:
- 10/2: Volunteer Tea (in library) @ 8:30am
- 10/7: Student Count Day
- 10/16: Fun Run (time TBD)
- 10/25: Haunted Garage (10/30 rain date)
- 10/30: Halloween Parade/Party (11:30 Dismissal)
Each week students will focus on a word family or spelling pattern that will help them during their reading and writing. The word family and word wall words will be listed in this section of the newsletter each week. We will be giving five word spelling tests each Friday morning on word wall words (sight words) beginning in October.
Classroom Info:
Reading:
We have focused on some phonics and blends that students may see during reading. You may have heard students talk about Spy Y: Wanted for stealing the sounds of A, E and I (day, funny, fly),The Rude Team "TH": makes us stick out our tongue when we say it (think, not fink ), Two Vowels Walking: the first one does the talking (boat, team, rain) and the KN Blend: knee, know, knot. With the help of these reading tricks, students will have more useful strategies to solve unfamiliar words. We will be reviewing short and long vowel sounds as well.
Writing:
We continue to work on handwriting skills including finger spaces. We wrote a small moment about a special summer time. Students all shared such fun stories! We will begin the Small Moment writing unit this month and continue to develop skills as the year progresses.
Math:
Students have been working in math journals and becoming familiar with the Everyday Math units. They have enjoyed playing Bunny Hop, Rolling for 50 and the Penny Dice Game. We also worked on telling time to the hour by identifying the hands of the clock and where they are pointing.
Social Studies/Science:
We reviewed rules and why they are important this week. We also spent time understanding the difference between tattling and reporting. The state of Michigan has provided teachers with Do Unto Otters, a book about manners as a social studies lesson. Students enjoyed listening to the ways otters would like to be treated and learned the valuable lesson of treating others the way you would like to be treated.
Collins' Comments:
- Please send in $5.00 for classroom parties. Thanks for your generosity!
- Raz-Kids: Students were introduced to logging on to Raz-Kids this week. Their log-in and passwords were sent home in the Back to School Night folder. If prompted, my information: Teacher Username: acollins17
- Don't forget to check out my website for any other information you may need: www.misscollinsroom206.weebly.com
- Community Luncheon: September 30 th , Mason is honored to join Beaumont Community Health Coalition and Superintendent Dr. Gary Niehaus., in hosting The Fifth Annual Community Luncheon. Over 100 community leaders from the five Grosse Pointes have been invited to this luncheon. The location of the luncheon is rotated among all of our schools, and Mason is proud to chosen this year! The luncheon is set from 1-3 p.m. On Wednesday, our students will be eating in their classrooms. Sodexo will have a "grab and go bag lunch" and milk will also be available for purchase. Parking will be limited to our guests until 3 p.m. We appreciate your support in helping us shine a light on Mason.
Halloween AM Schedule:
8:45-9:15 School Parade
9:15-10:15 Classroom Party
10:15-11:00 Assembly
11:00-11:30 Classroom Movie
11:30 Dismissal
Halloween Boos and Don'ts!
- No weapons of any kind allowed at school.
- Please no scary masks. Your child needs to be able to see clearly through the eye holes to prevent accidents at school.
Have a great weekend! Miss Collins
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Municipal finances garner considerable public attention because citizens are directly affected through their responsibility to pay property taxes. Councils must allot those revenues in a fiscally responsible way that balances the needs and wants of citizens.
What is the AAMDC's position on the importance of municipal funding?
[x] Municipalities must operate according to the highest standards of financial transparency and accountability.
[x] Taxation revenue is a municipality's primary source of funding. Municipalities must determine their local priorities and cover their operating and capital expenses with available tax revenues, and find alternative sources (ex. grants, loans) to cover the rest.
[x] In comparison to federal and provincial/territorial levels of government, municipalities receive only eight cents of each tax dollar collected in Canada but are responsible for services and infrastructure expenses that significantly exceed those revenue levels.
[x] It is vital that the provincial and federal government support municipalities through long-term, predictable, and stable revenue sharing.
[x] Without predictable and consistent revenues, it is difficult to plan capital projects, to service interest payments, and to provide consistent levels of service to citizens.
What financial considerations do rural municipalities have with respect to municipal funding?
[x] Discussions on municipal finances cannot only focus on revenues. To accurately compare the finances of urban and rural municipalities, both revenues and expenditures must be considered.
[x] Expenses in rural municipalities are often higher than in urban municipalities due to the nature of the infrastructure required including extensive road networks, bridges and water and wastewater systems that need to be maintained. Providing municipal services to rural, sparsely populated/highly industrial areas is also costly.
[x] In some cases, a municipality's use of unrestricted reserves creates a misperception of wealth. Where appropriate, the AAMDC supports the use of restricted reserves in which municipal funds are formally dedicated to specific future uses, while recognizing that unrestricted reserves often function as a contingency plan in the event that an unexpected municipal cost arises.
[x] Rural municipalities make substantial financial contributions to their urban neighbours through various inter-municipal financial arrangements. Through these agreements, rural municipalities work with their municipal neighbors to meet regional needs. The impending requirements for municipalities to form intermunicipal collaboration frameworks with neighbours will likely increase the scope and consistency of cost-sharing arrangements throughout the province.
[x] In both 2014 and 2015, rural municipalities contributed $160 million per year to their urban neighbours through inter-municipal financial arrangements, which is an increase of 23% since 2010, the last year in which complete data was gathered.
[x] The AAMDC supports voluntary collaboration among local governments as a desirable means of addressing regional financing of capital initiatives or the funding of service delivery. Local solutions are often the best solutions, and the AAMDC supports local decision making to meet local and regional needs.
[x] In some cases, municipalities struggle to collect unpaid property taxes on all property types. Provincial and federal legislation must empower municipalities to collect these important revenue sources by broadening the available collection tools.
What collaborative relationships are essential to rural municipalities in securing municipal funding?
[x] The AAMDC supports municipalities operating transparently and sharing information on how tax dollars are being spent with citizens and other taxpayers.
[x] Federal and provincial government grants and transfers are vital to the sustainability of both rural and urban municipalities, and support both local community development and province- and nation-wide economic growth.
[x] Inter-municipal partnerships are important to ensuring regional needs are met; however, local conditions and circumstances dictate the type of partnership that best fits the needs of the local and regional situation.
How does the work of the AAMDC support the sustainability of municipal funding?
[x] Through position/research papers and resolutions, the AAMDC advocates to other levels of government regarding both the challenges and potential solutions to funding issues.
[x] The AAMDC encourages its members to commit themselves to finding local solutions to local problems and provides information and tools as appropriate (ex. Cost Sharing Works paper, citizen engagement toolkit, Peer Network).
What current funding-related issues are impacting rural Alberta?
Infrastructure Deficit/Increased Service Demands
[x] Most municipalities do not have sufficient annual revenues from taxation and grants to build and maintain needed infrastructure. Each year, this infrastructure deficit grows while citizens' expectations increase. Prior to the initiation of any change in governance structure (annexation, amalgamation, dissolution), the infrastructure deficits of all impacted municipalities must be considered, as adding additional responsibilities to an already over-extended municipality may have unintended negative consequences.
Grants
[x] Grant funds are a major source of municipal revenues, including the substantial provincial investment made through the Municipal Sustainability Initiative (MSI). Such grant funding must be long-term and predictable in order to properly support municipal planning needs.
[x] Changes to provincial or federal grants, including program requirements, funding levels, or the consolidation of grants often have unintended local consequences and add complexity to rural municipal financial management.
Defunding/Downloading
[x] When service delivery responsibilities are downloaded from the provincial government to municipalities, they should be accompanied with the necessary resources and funding to finance that service or responsibility.
Revenue Sharing and Cost-Sharing
[x] The AAMDC does not support mandatory revenue sharing but does encourage its members to commit themselves to finding local solutions to best address local and regional needs.
[x] Cost sharing is preferable to revenue sharing because it is within the mandate of municipal government, relatively easy to administer, and creates equity, accountability, effectiveness and efficiency.
[x] There has been an increasing push from some commentators for Alberta's rural municipalities to share their perceived wealth with urban neighbours. This ignores the fact that expenses associated with infrastructure maintenance and service provision are often much higher in rural municipalities than in urban.
Funding Formulas
[x] Population is a weak predictor of expense for most municipalities in the province. There are many infrastructure costs that are not reduced once population drops below a specific threshold. As an alternative, municipal assets are often a stronger indication of need.
Asset Management
[x] By properly monitoring the age and condition of infrastructure and developing a long-term plan for maintenance and replacement, municipalities will increase accountability and efficiency in managing their assets and improve service levels.
[x] Due to the long-term nature of asset management planning, it is critical to establish buy-in throughout the municipality, from council to front-line employees. The AAMDC's report, Navigating the Asset Management Journey, can help develop this buy-in.
[x] The AAMDC looks forward to working with the Government of Alberta to implement the provincial plan for developing asset management that is linked to continued federal Gas Tax funding.
Taxation Authority
[x] Through the ongoing review the Municipal Government Act, the AAMDC has advocated for an expansion of the current revenue tools available to municipalities.
[x] Municipalities need additional revenue sources to both diversify their current revenue streams, and to gather additional revenue to maintain and repair rural Alberta's critical infrastructure.
For more information, visit www.aamdc.com for reports and an online, searchable Resolution Database which includes information on all active resolutions and emerging issues related to municipal finances.
AAMDC reports specifically related to the position statements identified in this document include:
[x] Apples to Apples: Rural Municipal Finance in Alberta – Main Report
[x] Apples to Apples: Rural Municipal Finance in Alberta – Technical Appendix
[x] Cost Sharing Works: An Examination of Cooperative Inter-municipal Financing
[x] Asset Management for Municipalities in Alberta: Navigating the Asset Management Journey
Contact:
Matt Dow, Policy Analyst AAMDC - Alberta Association of Municipal Districts and Counties [email protected] 780.955.4085
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SPHERIFICATOR VARIABLE SPEED CONTROLER FIX
Disassemble your Spherificator
1. Remove Top and Bottom covers.
2. Remove the two silicon rings from the from the top.
3. Pinch the middle of the Spherificator along the separation line until the an opening is made. Using a flat screwdriver or a butter knife pry open the Spherificator in two - this should be done relatively easily
At this point you will see the interior of the Spherificator, you will also have 4 parts: front and back of the spherificator and the top cone and the bottom nozzle.
4. Isolate the chip from the rest of the wires. You will notice 3 sets of wires connecting to the chip.
5. Disconnect the two wire sets (a set is made of two wires) located behind the two positions identified by the red arrows and invert them. Follow the diagram to locate the two wire sets.
To Reassemble your Spherificator:
6. Tuck the chip and the wires between the pump and the top cone.
7. Reassemble all four components and clip back together.
8. Slide the silicon ring back on from the top.
9. Put top and bottom covers back on
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IN THE UNITED STATES DISTRICT COURT WESTERN DISTRICT OF ARKANSAS FORT SMITH DIVISION
BILLY D. WAKEFIELD
v.
Civil No. 09-2129
MICHAEL J. ASTRUE, Commissioner of
Social Security Administration
MEMORANDUM OPINION
I.
Factual and Procedural Background
Plaintiff, Billy D. Wakefield, appeals from the decision of the Commissioner of the Social
Security Administration ("Commissioner") denying his applications for disability insurance benefits ("DIB") and supplemental security income benefits ("SSI"), pursuant to §§ 216(i) and 223 of Title
II of the Social Security Act, 42 U.S.C. §§ 416(i) and 423(d), and § 1602 of Title XVI, 42 U.S.C.
§ 1381a, respectively (collectively, "the Act").
At the time of the alleged onset date, Plaintiff was 47 years old with a sixth grade education.
Tr. 15, 56, 133, 255. He performed past relevant work as a tree trimmer. Tr. 35, 111-14, 136-38.
Plaintiff protectively filed his DIB and SSI applications on July 18, 2007, alleging a disability onset date of July 18, 2006, due to arthritis, back and leg pain, tingling in his arms, mental retardation, and
residuals from a motorcycle accident. Tr. 40-44, 47, 96-98, 101-04, 124, 129, 140, 163, 182-85.
Plaintiff's applications were denied at the initial and reconsideration levels. Tr. 58-63, 66-69.
At Plaintiff's request, an administrative hearing was held on October 29, 2008. Tr. 11-39. Plaintiff was present at this hearing and represented by counsel. The Administrative Law Judge (“ALJ”)
rendered an unfavorable decision on February 17, 2009, finding Plaintiff was not disabled within the
-1-
Dockets.Justia.com
PLAINTIFF
DEFENDANT
meaning of the Act. Tr. 47-57. Subsequently, the Appeals Council denied Plaintiff's Request for Review on September 11, 2009, thus making the ALJ's decision the final decision of the Commissioner. Tr. 1-3. Plaintiff now seeks judicial review of that decision.
II. Medical History
On May 17, 2007, Plaintiff was admitted to Summit Medical Center following a minor motorcycle accident. Tr. 186-202. Steven Nelson, M.D., treated him for superficial lacerations to his left eye and hand. Tr. 190. A CT of Plaintiff's cervical spine revealed degenerative changes at the lower three cervical levels, but no fractures or subluxations. Tr. 194. A CT of Plaintiff's brain revealed a fracture of the left superior orbital rim, with fragments displaced into the orbit. Tr. 195. No other abnormalities were noted. Tr. 195. X-rays of Plaintiff's left shoulder, wrists, chest, right knee, and right hand were all within normal limits. Tr. 196-201. An x-ray of Plaintiff's left hand showed degenerative changes at the interphalangeal joints of the fifth finger, but was otherwise normal. Tr. 202. Plaintiff was discharged and given a prescription for Percocet, Phenergan, and Keflex. Tr. 191. On May 25, 2007, Plaintiff underwent open reduction internal fixation of the left supraorbital rim fracture and a closed nasal fracture reduction. Tr. 224-33. The surgery was successful, and there is no evidence that Plaintiff received any follow-up care. Tr. 224-33.
In 2006 and 2007, Plaintiff was treated by C.J. Arendall, M.D., for depression and arm, wrist, leg, and back pain. Tr. 203-13. X-rays of Plaintiff lumbar spine dated July 18, 2007, revealed degenerative disc space narrowing at the L3-4, L4-5, and L5-S1 levels. Tr. 210. He was prescribed Meloxicam, a nonsteroidal anti-inflammatory ("NSAID"), for pain. Tr. 203-13. In an Attending Physician's Statement dated November 6, 2007, Dr. Arendall noted that Plaintiff's arm and back pain would interfere with his attention and concentration and his ability to tolerate work stress. Tr.
213. He found that Plaintiff was capable of simple grasping (both hands), but could not push and pull or perform fine manipulation with either upper extremity. Tr. 213. By Dr. Arendall's estimation, Plaintiff would miss an average of four or more workdays per month. Tr. 213.
Dr. Arendall referred Plaintiff to James Kelly, III, M.D., for pain, numbness and tingling in his upper extremities. Tr. 206. In a letter dated March 13, 2006, Dr. Kelly expressed his opinion that Plaintiff suffered from carpal tunnel syndrome and pronator tunnel syndrome. Tr. 206. Upon physical examination, Plaintiff had a positive compression test of the wrist and pronator tunnel and a positive tinel's sign. Dr. Kelly ordered electromyography ("EMG") and nerve conduction velocity ("NCV") studies, but believed Plaintiff's condition would likely require a carpal tunnel and pronator tunnel release. Tr. 206. There is no evidence that Plaintiff followed through with these studies or received any further treatment from Dr. Kelly.
In a Physical Residual Functional Capacity ("RFC") Assessment dated August 24, 2007, Jerry Mann determined that Plaintiff could occasionally lift/carry twenty pounds, frequently lift/carry ten pounds, stand, sit, or walk for a total of about six hours in an eight-hour workday, and push/pull an unlimited amount, other than as shown for lift/carry. Tr. 214-21. Mann found no postural, manipulative, visual, communicative, or environmental limitations. Tr. 214-21.
On October 21, 2008, Plaintiff saw Robert L. Spray, Ph.D., for a psychological evaluation. Tr. 255-57. Plaintiff reportedly had problems in school and only completed the sixth grade. Tr. 255. He could not remember being in any special classes, but admitted having trouble reading and spelling. Tr. 255. He denied receiving any prior mental health treatment. Tr. 256. When asked about employment, Plaintiff said he worked as a tree trimmer for thirty years and left this position after being "electrocuted too good." Tr. 255. He had no difficulty getting along with his coworkers
and supervisors. Tr. 256.
Plaintiff reportedly had no difficulty with self-care. Tr. 256. He had no problems driving, but took his driving test five times before he passed. Tr. 256. He could mow the yard, do laundry, prepare meals, shop, do the dishes, and vacuum, although his wife handled the family's finances. Tr. 256. Physically, Plaintiff reported burning and tingling in his arms, which caused him to drop things. Tr. 256. He took pain medication, which did not alleviate his symptoms. Tr. 256.
Plaintiff was administered the Wechsler Adult Intelligence Scale-III ("WAIS-III"). Tr. 257. He attained a verbal IQ of 64, a performance IQ of 69, and a full-scale IQ of 63, which was within the mildly retarded range. Tr. 257. Dr. Spray diagnosed Plaintiff with mild dysthymia and mild mental retardation. Tr. 257. He noted that Plaintiff was socially awkward and had trouble persisting with tasks. Tr. 257.
III. Applicable Law
The Court's role on review is to determine whether the Commissioner's findings are supported by substantial evidence in the record as a whole. Ramirez v. Barnhart, 292 F.3d 576, 583 (8th Cir. 2003). "Substantial evidence is less than a preponderance, but enough so that a reasonable mind might accept it as adequate to support a conclusion." Estes v. Barnhart, 275 F.3d 722, 724 (8th Cir. 2002) (quoting Johnson v. Apfel, 240 F.3d 1145, 1147 (8th Cir. 2001)). In determining whether evidence is substantial, the Court considers both evidence that detracts from the Commissioner's decision as well as evidence that supports it. Craig v. Apfel, 212 F.3d 433, 435-36 (8th Cir. 2000) (citing Prosch v. Apfel, 201 F.3d 1010, 1012 (8th Cir. 2000)). If, after conducting this review, "it is possible to draw two inconsistent positions from the evidence and one of those positions represents the [Secretary's] findings," then the decision must be affirmed. Cox v. Astrue, 495 F.3d
614, 617 (8th Cir. 2007) (quoting Siemers v. Shalala, 47 F.3d 299, 301 (8th Cir. 1995)).
To be eligible for disability insurance benefits, a claimant has the burden of establishing that he is unable to engage in any substantial gainful activity due to a medically determinable physical or mental impairment that has lasted, or can be expected to last, for no less than twelve months. Pearsall v. Massanari, 274 F.3d 1211, 1217 (8th Cir. 2001); 42 U.S.C. § 423(d)(1)(A). The Commissioner applies a five-step sequential evaluation process to all disability claims: (1) whether the claimant is engaged in substantial gainful activity; (2) whether the claimant has a severe impairment that significantly limits his physical or mental ability to perform basic work activities; (3) whether the claimant has an impairment that meets or equals a disabling impairment listed in the regulations; (4) whether the claimant has the RFC to perform his past relevant work; and (5) if the claimant cannot perform his past work, the burden of production then shifts to the Commissioner to prove that there are other jobs in the national economy the claimant can perform given his age, education, and work experience. Pearsall, 274 F.3d at 1217; 20 C.F.R. § 404.1520(a), 416.920(a). If a claimant fails to meet the criteria at any step in the evaluation, the process ends and the claimant is deemed not disabled. Eichelberger v. Barnhart, 390 F.3d 584, 590-91 (8th Cir. 2004).
IV. Discussion
At step one, the ALJ determined Plaintiff had not engaged in substantial gainful activity since July 18, 2006, the alleged onset date. Tr. 49. At step two, she determined Plaintiff suffered from degenerative disc disease of the lumbar spine, carpal tunnel syndrome, and borderline intellectual functioning, all of which were severe under the Act. Tr. 49. At step three, she found Plaintiff did not have an impairment or combination of impairments that met or medically equaled a listed impairment. Tr. 49. At step four, the ALJ determined Plaintiff had the RFC to perform unskilled, light work where he could frequently balance, climb ramps and stairs, and kneel, occasionally climb ladders, ropes, and scaffolds, occasionally stoop, crouch, and crawl, and frequently grasp, handle and finger objects. Tr. 52. After soliciting testimony from a vocational expert, the ALJ found Plaintiff could perform representative occupations such as laundry worker, of which there are 218,000 jobs nationally and 2,000 jobs regionally, small parts assembler, of which there are 111,000 jobs nationally and 1,300 regionally, and sorter/grader, of which there are 46,000 jobs nationally and 940 regionally. Tr. 56. Accordingly, the ALJ ended her analysis at step five and determined Plaintiff had not been under a disability at any time from July 18, 2007, through the date of her decision. Tr. 57.
Plaintiff contends the ALJ erred in: (1) finding his mental impairment did not meet Listing 12.05C; (2) improperly determining his RFC; and (3) dismissing his subjective complaints. Pl.'s Br. 6-18, ECF No. 12. For reasons discussed below, we reverse and remand for further development of the record with regard to Plaintiff's mental limitations.
A. Mental Retardation
Mental retardation refers to "significantly subaverage general intellectual functioning with deficits in adaptive functioning initially manifested during the developmental period." 20 CFR Pt. 404, Subpt. P, App. 1. To meet Listing 12.05C, a claimant must show: (1) a valid verbal, performance, or full scale IQ of 60 through 70; (2) an onset of the impairment before age 22; and (3) a physical or other mental impairment imposing an additional and significant work-related limitation of function. Maresh v. Barnhart, 438 F.3d 897, 899 (8th Cir. 2006).
The first and third criteria are not at issue here. There is no dispute that Plaintiff received a full-scale IQ of 63 on the WAIS-III or that he suffers from degenerative disc disease and carpal tunnel syndrome, which cause significant work-related limitations. Tr. 50, 257. Thus, we turn to the second criteria.
In finding Plaintiff had not sufficiently demonstrated onset before the age of 22, the ALJ noted that Plaintiff did not undergo psychological testing until October 21, 2008, when he was 49 years old. Tr. 50. The ALJ also found Plaintiff had not demonstrated deficits in adaptive functioning sufficient to meet Listing 12.05. Tr. 50. We agree.
A person's IQ is presumed to remain stable over time in the absence of any evidence of change in a claimant's intellectual functioning. Muncy v. Apfel, 246 F.3d 728, 734 (8th Cir. 2001). However, an ALJ "may disregard a claimant's IQ score when it is derived from a one-time examination by a non-treating psychologist, particularly if the score is inconsistent with the claimant's daily activities and behavior." Id. at 733; Clark v. Apfel, 141 F.3d 1253, 1255-56 (8th Cir. 1998). Plaintiff did not initially claim mental retardation in his DIB and SSI applications. Tr. 129. In fact, he had never received mental health treatment prior to seeing Dr. Shry at his attorney's request. Tr. 256; Clay v. Barnhart, 417 F.3d 922, 929 (8th Cir. 2005) (the absence of a treatment record, diagnosis, or even inquiry into a mental impairment prior to applying for benefits weighs against claimant).
Additionally, although Plaintiff had poor grades in school and dropped out in the seventh grade, there is no evidence that he had any difficulties with adaptive functioning. While in school, Plaintiff was never enrolled in special education classes. He testified that he worked as a tree trimmer for the same employer for thirty years. Tr. 21, 255. He never had any problems getting along with coworkers or supervisors. Tr. 255. He lived independently for three or four years between marriages. Tr. 256. He drives twenty miles on a daily basis to have coffee and visit with his friends. T. 17. Sometimes, he drives his friends into town to go to the store. Tr. 17. These types of activities simply do not demonstrate deficits in adaptive functioning. Thus, we find no error in the ALJ's determination that Plaintiff does not meet Listing 12.05C.
B. RFC Assessment
Next, Plaintiff asserts that the ALJ erred in his RFC determination. See Pl.'s Br. 10-18. On this we, we agree.
At the fourth step of the evaluation, a disability claimant has the burden of establishing his RFC. Eichelberger, 390 F.3d at 591; Masterson v. Barnhart, 363 F.3d 731, 737 (8th Cir. 2004). A claimant's RFC is the most he can do despite his limitations. 20 C.F.R. § 404.1545(a)(1). The ALJ determines a claimant's RFC based on "all relevant evidence, including medical records, observations of treating physicians and others, and the claimant's own descriptions of his or her limitations." Masterson, 363 F.3d at 737. The Eighth Circuit has stated that "a claimant's residual functional capacity is a medical question." Lauer v. Apfel, 245 F.3d 700, 704 (8th Cir. 2001). Thus, although the ALJ bears the primary responsibility for determining a claimant's RFC, there must be "some medical evidence" to support the ALJ's determination. Eichelberger, 390 F.3d at 591; Dykes v. Apfel, 223 F.3d 865, 867 (8th Cir 2000).
At step four, the ALJ determined Plaintiff had the RFC to perform unskilled, light work where he could frequently balance, climb ramps and stairs, and kneel, occasionally climb ladders, ropes, and scaffolds, occasionally stoop, crouch, and crawl, and frequently grasp, handle and finger objects. Tr. 52. Although she determined that Plaintiff suffers from borderline intellectual functioning at step two, which did not meet listing 12.05C, she did not find any mental limitations at the RFC stage. Tr. 52-55. She merely recounted Dr. Spray's evaluation and stated that Plaintiff's borderline intellectual functioning would not limit his activities beyond the scope of her RFC assessment. Tr. 54. This was error.
We note there were no mental RFC assessments completed by any physicians or agency consultants. Haley v. Massanari, 258 F.3d 742, 749 (8th Cir. 2001) (reversible error for the ALJ not to order a consultative examination where such evaluation is necessary to make an informed decision). Dr. Spray evaluated Plaintiff, but did not complete a mental RFC assessment or determine Plaintiff's mental capabilities. He did note, however, that Plaintiff had trouble persisting with tasks. Tr. 257. In her psychiatric review technique, the ALJ found that Plaintiff had mild restriction in activities of daily living, mild difficulties in social functioning, and moderate difficulties in concentration, persistence or pace. Tr. 51-52. It necessarily follows that Plaintiff would experience some limitations as a result of these difficulties. If the ALJ found such limitations, she did not sufficiently convey them. See Vincent v. Apfel, 264 F.3d 767, 770 (8th Cir. 2001) (cf. Lucy v. Chater, 113 F.3d 905, 909 (8th Cir. 1997) (even if clamant's borderline intellectual functioning was not of listing-level severity, claimant was entitled to have vocational expert consider this condition along with his other impairments to determine how it impacts upon his RFC). For this reason, remand for further development of the record is necessary. On remand, the ALJ should order a consultative psychological examination and make specific findings concerning Plaintiff's mental RFC. Once a sufficient mental RFC assessment has been made, the ALJ should elicit vocational expert testimony to determine what jobs, if any, Plaintiff can perform.
On a final note, we agree with the ALJ's physical RFC assessment. The ALJ properly dismissed Dr. Arendall's conclusory Attending Physician's Statement. Plaintiff's treatment record is sparse. Dukes v. Barnhart, 436 F.3d 923, 927 (8th Cir. 2006) (claimant did not diligently seek medical care for alleged impairments). Dr. Arendall saw Plaintiff a total of eight times between
2005 and 2007, and several of these appointments were unrelated to his alleged impairments. Tr.
203-12. Additionally, Dr. Arendall consistently prescribed NSAIDs instead of pain medication. Tr.
203-12. If Plaintiff was as limited by pain as Dr. Arendall suggests, we assume he would prescribe
Robinson v. Sullivan stronger medications or send Plaintiff to a pain specialist.
, 956 F.2d 836, 840
(8th Cir. 1992) (claimant's conservative treatment was inconsistent with allegations of disabling pain). Furthermore, Plaintiff failed to undergo studies necessary to determine the extent of his carpal
tunnel and pronator tunnel syndromes. See Dodson v. Astrue, 346 Fed. Appx. 123, 124 (8th Cir.
Murphy v. Sullivan
2009) (failure to comply with treatment);
, 953 F.2d 383, 386-87 (8th Cir. 1992)
(there was no evidence that claimant sought low-cost medical treatment). For these reasons, substantial evidence supports the ALJ’s dismissal of Dr. Arendall’s opinion. However, as earlier
discussed, we remand for further development of the record as to Plaintiff's mental impairments.
V. Conclusion
Accordingly, we conclude the ALJ's decision is not supported by substantial evidence and should be reversed and remanded to the Commissioner for further consideration pursuant to sentence
four of 42 U.S.C. § 405(g).
th
DATED this 8 day of December 2010.
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HOME
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ULRICH'S BIMONTHLY (formerly Picture of the Month)
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Werner Ulrich's Home Page: Ulrich's Bimonthly
Formerly"Pictureof th e M o n th "
May-June 2007
(Reflections on Critical Pragmatism, Part 5)
The greening of pragmatism (ii): current issues in developing critical pragmatism – a methodological trilemma In the previous discussion, we explored the emergence of different notions of "critical pragmatism" in the literature of various fields. It is time now to turn our attention from history to the present. Given the findings of our historical review, what critical thoughts offer themselves and what are the challenges ahead?
Where do we stand in developing critical pragmatism? Some critical comments Our review in the last Bimonthly (Ulrich, 2007b) found that the term "critical pragmatism" is emerging from two different but mutually influential strands of thought. On the one hand it has been used in the fields of cultural and educational theory as well as planning theory, on the other hand in social theory and philosophy. In the fields of cultural, educational, and planning theory, critical pragmatism often stands for a reformist commitment to an open, pluralist society in which all people can participate equally and meaningfully; it is essentially a project of social change. In the fields of social theory and philosophy, by contrast, critical pragmatism basically stands for a methodological interest in bringing together the traditions of pragmatist and critical thinking; it is mainly a philosophical project.
To be sure, the two strands of thought cannot be neatly separated; societal visions and philosophical efforts may (and usually do) motivate and support one another. That does not imply, however, that critical pragmatism as a philosophical project is necessarily to be associated with any particular ideological perspective. I suggest we should be careful about doing so. Whilst a philosophical effort is always well advised to reflect on the ideological implications it may have – that is, to subject its findings and conclusions to ideology-critique – it should hardly begin by defining its ends and scope of inquiry in ideological terms. Wearing such ideological blinkers http://wulrich.com/bimonthly_may2007.html
For a hyperlinked overview of all issues of "Ulrich's Bimonthly" and the previous "Picture of the Month" series, see the site map
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would run counter to the spirit of ideology-critique.
Hence, my bias is in favor of a methodological rather than an ideological understanding of critical pragmatism. Although I sympathize with many of the concerns of the reformist (or social change) strand, my plea is for a philosophical (and social theory) understanding of critical pragmatism. Such an understanding need not prevent us from engaging in projects of educational, cultural, and political reform, but it may better prepare us for them. It has its own dangers though. In particular, we must not allow it to become an end in itself, a mere project of social theory building that would remain remote from all practice. Just as the reformist (or social change) strand of critical pragmatism risks raising practical claims that it cannot justify philosophically, the philosophical (or social theory) strand risks advancing concepts of practical reason that do not lend themselves to practice, as it has happened, for example, with critical theory's concepts of rational "practical discourse" and "discourse ethics."
A few additional comments, directed more specifically at the work of the authors whom we found representative of the two strands of critical pragmatism, may be useful to further clarify the ways in which my proposed notion of critical pragmatism tries to avoid these two traps.
On the reformist (or social change) strand of critical pragmatism If (as I have just argued) we mean by critical pragmatism primarily a philosophical project, although not as an end in itself, the term itself suggests a basic definition:
Critical pragmatism is the endeavor to promote a critical understanding and practice of pragmatism. (My proposed basic definition)
If however we mean by critical pragmatism primarily a program of reformist social action, we have no choice but to define it in the terms of the specific ideology and/or practical commitments that guide some particular author(s) or social activist(s), for instance along the lines of Mary Jo Deegan's (1988, p. 26) definition of Jane Addams' (1902, 1910) critical pragmatism:
Critical pragmatism [as implicit in the writings of Jane Addams] … is a theory of science that emphasizes the need to apply knowledge to everyday problems based on radical interpretations of liberal and progressive values." Deegan (1988, p. 26)
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This definition may accurately capture the spirit of the writings of Jane Addams and (to a lesser degree) those of other authors whom we associated with critical pragmatism, such as John Dewey (e.g., 1909, 1916, 1925, 1937) and Alain Locke (1925, 1933, 1936, cf. Harris 1999), although neither of them (as far as I am aware) has used the term. The term is aptly chosen in that pragmatist thinking is clearly present in their works and goes hand in hand with a critical social engagement. This is particularly true with regard to Jane Addams and John Dewey's cooperation on social and pedagogical projects, so that it is surely not inadequate to characterize their critical social engagement as an attempt to live pragmatist philosophy as a critical (in the sense of social-reformist) practice of pragmatism.
Nevertheless, this biographic employment of the term should not have us misunderstand the "critical" intent of critical pragmatism primarily in such political terms, as if it depended on a particular program of political and social action. That would render critical pragmatism unattractive to all those who may not share that particular program of action. It would from the outset compromise its chances to promote reflective research practices in the social sciences and the applied disciplines. It would also run counter to the epistemological and methodological intent of critique as a philosophical concept, the point of which is ideology-critique and quite generally a selfreflecting and transparent way of handling the normative underpinnings and implications of our claims.
It is of course true that we can never quite free ourselves of all ideological assumptions, nor do I mean to suggest we should. This holds true for a "critical" stance as much as to any other. So long as we lay our normative position open and reflect on the way it conditions our claims, there is no reason why a personal ideological commitment should be incompatible with pragmatist thinking. This also applies to John Forester's (1993, 1998, 1999) use of the label "critical pragmatism" for his work on planning theory and practice. The point of my reservation is not that I do not sympathize with his participatory and emancipatory, at times radical-reformist view of planning; I do. The point is only that a "critical" social and political engagement furnishes no adequate definition characteristic of critical pragmatism, no more than any other ideological stance, for it is methodologically arbitrary.
http://wulrich.com/bimonthly_may2007.html
Adopting a normative position as such constitutes no methodological achievement and defines no methodological project. It tells us little about the philosophical issue that motivates this series of reflections, of how we can methodologically recover and develop pragmatist philosophy as a tool of critical inquiry and practice (compare Ulrich, 2006a-c).
In conclusion, this first strand of critical pragmatism is of limited interest for the philosophical project that I associate with critical pragmatism; for this project is "critical" in a philosophical and methodological sense rather than in the sense of a predefined political and ideological stance. Only thus can it help us revive pragmatist philosophy as a framework for reflective research.
On the philosophical (or social theory) strand of critical pragmatism
Turning now to the second strand, its central idea of building a bridge between critical social theory and pragmatism is obviously much closer to my own understanding of critical pragmatism. This same idea has for some 30 years been among the motives for my work on critical systems heuristics and boundary critique, although in a way that is somewhat different from my present interest in critical pragmatism. My original interest was mainly in "pragmatizing" critical theory (especially its discursive concept of practical rationality), whereas my present interest – drawing on my earlier work – is mainly in promoting a critical turn of pragmatism.
It appears that the perspective that currently prevails in this emerging second strand of critical pragmatism focuses on the idea of a pragmatist revision of critical theory (see, e.g., Dryzek, 1995, and White, 2004). Nonetheless, I do not think we would be well advised to equate critical pragmatism with an attempt to revise critical social theory. I am concerned not only because revising critical theory is a rather bold venture, one that may not produce a satisfactory result very soon and to which in any case I would not want to lay claim; I am also concerned because due to its theoretical nature, such a metacritique of critical theory risks once again sacrificing the quest for critical practice – the pressing task of providing methodological support to reflective practitioners – to academic theorizing about practice. As much as it is philosophically relevant to explain whether and how a critical theory of society is possible and can provide systematic orientation to the practice of research (especially in the social sciences and applied disciplines), this is not http://wulrich.com/bimonthly_may2007.html
the kind of "pragmatic" support that practicing researchers and professionals, managers, politicians, and concerned citizens usually tell us they need in the first place. More urgent to them are down-to-earth tools that not only philosophers and social theorists understand but which a majority of people can use as guides to reflective practice.
Of course the assumption that has always been driving the development of critical social theory is that sound theory eventually translates into sound practice. That may be true, at least in the negative sense that poor theory is rarely conducive to good practice. But as we have seen in an earlier reflection (Ulrich, 2006d), the reverse assumption is not automatically true: sound theory does not ensure sound practice. Not even the best theory can ultimately make sure that people find peaceful and fair ways of handling their differences. Critical theory may support but cannot supersede efforts to develop practical conceptual tools and, with their help, to foster the reflective and argumentative skills of ordinary people.
However, I certainly agree with the conclusion that John Dryzek (1995) has drawn from a review of critical theory's achievements as a research program:
Clearly, there can be more to critical theory than the aridity and abstraction with which empirically oriented social scientists often dismiss it. Indeed, critical theory points to a rich and important conjunction of social theory and empirical research. Yet there remains a shortfall between the programmatic statements of Habermas and other critical theorists on the one hand, and what has actually been accomplished in terms of putting critical theory into social science practice on the other. The situation can be corrected to the extent critical theorists come down from the metatheoretical heights to actually practice the critique they preach.… There is no shortage of work for those interested in critical theory as a research program. (Dryzek, 1995, p. 115f)
Challenges ahead: a methodological trilemma There is no shortage of work to be done indeed. Let us then turn to the methodological challenges ahead. It seems to me Dryzek's conclusion raises two basic issues. The one concerns the gap between the theory and the practice of research, the other (within the realm of theory) the gap between the critical and the pragmatic traditions of thought on the nature of research. I'll begin with the second gap, as overcoming it may be our best current chance for overcoming the first gap.
Bridging the gap between critique and pragmatism Dryzek's (1995) call for a more strongly "applied" orientation of critical theorists has recently been http://wulrich.com/bimonthly_may2007.html
taken up by White (2004; compare the previous Bimonthly for a short account). Although these two authors argue mainly within the context of American political science and moreover do not use the term "critical pragmatism," I find their conjectures about a pragmatist revision of critical theory relevant to our present discussion. While our discussion thus far emphasizes the need and potential for accomplishing a critical turn of pragmatism (the "greening" of pragmatism, Ulrich 2007b), theirs emphasizes the need and potential for accomplishing a pragmatist turn of critical social theory. 1) It seems to me these two projects are complementary in that they both depend on the same basic assumption, namely, that there are sufficient methodological affinities between the two traditions of critical and pragmatist thought to warrant a marriage. This makes it meaningful for the two projects to learn from one another.
I will discuss some of the affinities in question in the next contribution to this series; at this point it may suffice to say that I believe there are indeed sufficient affinities between critical theory and pragmatism, provided we recognize the need not only for a pragmatist turn of critical theory (as suggested by Dryzeck and White) but also, at the same time, for a critical turn of pragmatist philosophy. Only thus can we expect the marriage to be successful. If it were otherwise, it would be difficult to explain why thus far, nobody has come up with the kind of pragmatist critical theory that Dryzek and White are calling for.
In addition, it is conspicuous that both critical theory and pragmatist philosophy suffer from considerable deficits of application. The application deficits of critical social theory, both as a model of critical social science and as a model of discursive ethics, are as obvious as is the failure of contemporary pragmatist philosophy to develop a methodologically strong tradition of critical practice. I suspect this shared deficit is not entirely accidental but is rooted in common methodological difficulties – a negative methodological affinity, as it were. I am thinking, for example, of their shared dependence on ideal conceptions of rationality, in the form of completely rational discourse (in the case of critical theory) and of comprehensively explored consequences (in the case of pragmatism). This leads us back to the first gap mentioned above, that between theory and http://wulrich.com/bimonthly_may2007.html
practice.
Bridging the gap between theory and practice Whether we prioritize a pragmatist turn of critical theory or a critical turn of pragmatist thought or see the two projects as inseparable, any of these philosophical projects must at some point translate into practice. A well-understood critical pragmatism will not sacrifice the task of supporting reflective practice to some mainly theoretical ambitions; 2) its focus will be neither exclusively theoretical nor exclusively practical. I would suggest such a two-dimensional perspective is best ensured if we understand the idea and tradition of reflective practice as a third basic resource of critical pragmatism, one that raises its own specific issues and for this reason cannot be reduced to either critical theory or pragmatist thought or both.
This third relevant tradition is often associated with Donald Schön's (1983, 1987) influential work on the reflective practitioner; but unfortunately, it has taken a largely subjectivist or psychological turn and thereby tends to avoid the crucial methodological question of how reflective practice can ensure a critical handling of practical rationality claims as they inevitably arise in practice – for instance, claims to accurate and relevant knowledge, to adequate assessment of situations, to effective and efficient action, and to ethically defendable consequences. This is important because reflective practice implies such claims no less than any other practice. To a large extent, the stuff of reflective practice is the handling of uncertainties and conflicts about such claims. We need not enter into a discussion of this essential shortcoming of the prevailing concept of reflective practice (I have offered such discussion elsewhere, see, e.g., Ulrich, 2000 and 2001) to understand that an adequate concept of reflective practice raises "applied" philosophical issues that cannot be reduced to self-reflection in the prevalent psychological sense of mainstream thought on reflective practice (see, e.g., the specialized journal Reflective Practice), as little as to the theoretical conceptions of comprehensively rational practice in critical theory and pragmatist philosophy.
For instance, while critical theory cannot hope to explain rational practice without assuming conditions of complete rationality, that is, conditions that in principle (although they rarely if ever obtain) would allow us to justify all http://wulrich.com/bimonthly_may2007.html
the claims involved, reflective practice must try to promote better practice by helping people to handle the less-than-ideal conditions of rationality here and now, in concrete contexts of (imperfectly rational) action. Likewise, critical theory cannot hope to elucidate the meaning of moral action without explaining the principles that (ideally) would allow us to claim moral perfection, whereas reflective practice can at best help people to achieve a reasoned state of moral imperfection (Ulrich, 2006a, p. 55). Similarly, while pragmatist philosophy cannot explain a proposition's pragmatic meaning and merit without assuming a comprehensive effort of clarifying that proposition's conceivable consequences, reflective practice must try to support people in dealing with the fact that a comprehensive consideration of all conceivable consequences is usually beyond our possibilities.
A methodological trilemma of critical pragmatism My conclusion from these considerations is that we can usefully situate critical pragmatism in the center of three research traditions: critical theory, pragmatic thought, and reflective practice. They constitute the inseparable trio of critical pragmatism, as it were. Each of them furnishes an indispensable source of reflection on some essential methodological difficulties of critical pragmatism and also contributes some valuable ideas to their solution. Each also brings to the party its own specific difficulties that is has been unable to overcome on its own and which thus call for a revision of its methodological assumptions. We have, then, three essential cornerstones of critical pragmatism as depicted in Figure 1.
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The three cornerstones are so closely interdependent that it would make little sense to conceive of "critical pragmatism" in terms of any one or two of the three cornerstones only. The methodological considerations and principles they offer are not only equally essential for developing critical pragmatism, they also can mutually support one another. For example, critical theory elucidates the importance of the discursive principle; pragmatist thought sheds light on the importance of the (often neglected) pragmatic maxim; and reflective practice as conceived in critical heuristics makes us understand the importance of the principle of boundary critique. All three principles are fundamental to my notion of critical pragmatism; yet it seems to me none can be fully redeemed without the help of the others.
This is so because each the three cornerstones raises methodological difficulties that cannot be met without assuming some solutions to the other two; in so far, the triangle represents a methodological trilemma. In my work on critical heuristics, I have found the following methodological core issues to be fundamental, and fundamentally interdependent, for dealing with the three corners of the triangle: the problem of practical reason for pragmatizing critical theory; the dilemma of holism for operationalizing pragmatist thought; and the need for a critical turn of our concepts of rationality, truth, and ethics as a basis for developing some critical heuristics of reflective practice. Again, this is not the place to discuss these issues in any detail; I merely want to point out that since the three issues are interdependent, chances are we will resolve them together or not at all. That is what I mean with the "methodological trilemma" of critical pragmatism as suggested in Figure 1.
As a last note, Figure 1 also makes it obvious that not all researchers interested in developing critical pragmatism need to have the same priorities and to speak of exactly the same methodological challenges all the time. Each of the figure's three corners may serve as a starting point, so long as we do not lose sight of their close interdependence. So long as researchers keep this methodological trilemma in mind, they will help the cause of advancing critical pragmatism by approaching it from any of the three research traditions, as well as by relating it to other philosophical traditions. 3)
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Conclusion The proposed notion of critical pragmatism differs from some of the previous notions that I have found in the literature in three basic ways:
1. It understands "critique" in a methodological rather than an ideological sense. 4)
2. It attributes equal weight to the two complementary perspectives of giving philosophical pragmatism a more critical face (i.e., pursuing a critical turn of pragmatism) and of giving critical theory a more pragmatic face (i.e., pursuing a pragmatist turn of the tradition of "critique").
3. It focuses as much on the practical requirements of reflective practice as on the theoretical requirements of critical theory and pragmatist philosophy, whereby "practice" refers both to "applied science and expertise" and to "practical reason" in a Kantian, ethical, sense. 5)
Integrating the application of theoretically based science and expertise with practical reason – recovering the Kantian conception of the inextricable twodimensionality of reason – may well be the core challenge that critical pragmatism is all about. As Jurgen Habermas reminded us long ago:
The capacity for control made possible by the empirical sciences is not to be confused with the capacity for enlightened action.… The scientific control of natural and social processes – in a word, technology – does not release men from action. Just as before, conflicts must be decided, interests realized, interpretations found – through both action and transaction structured by ordinary language. Habermas (1971, p. 56)
Notes
1) I find Dryzek (1995) and White's (2004) concern very much parallel to that of my earlier work on critical systems heuristics (CSH). They aim at an opening of contemporary American political science to critical theory and to this end find it necessary to look for some pragmatization of critical theory; similarly, my work on CSH aimed at an opening of systems thinking, and of the professional practice informed by it, to critical theory, with a consequent focus on pragmatizing critical theory in the form of "critical systems heuristics." [BACK]
2) On my related reservations against relying on critical theory alone, see Ulrich, 1983 (Ch. 2, esp. the final section titled "Conclusions: Critical Theory or Critical Heuristics?") and 2006. [BACK]
3) With hindsight, much of my work on critical systems heuristics and boundary critique has consisted not only in exploring methodological affinities among the three cornerstones but also in trying to understand them in the light of what other traditions have to say, notably Kant's (1781, 1785, 1788) critical philosophy (especially his practical philosophy), Popper's (1959, 1963, 1972) critical rationalism (especially his model of critically-rational discussion), and the tradition of systems thinking (especially Churchman's [1971, 1979] philosophy of social systems design). [BACK]
4) On the importance of a methodological rather than ideological understanding of
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"critique," compare my analysis of the role of the "emancipatory interest" in critical theory and critical heuristics in Ulrich (2003, pp. 332-339). [BACK]
5) Compare the practical-philosophical twist that I have given the pragmatic stance in my recent critique of the "primacy of theory" doctrine in mainstream science theory (see Ulrich, 2007a and more fully 2006c): methodologically speaking, a focus on practice also means to recover the Kantian "primacy of practice" (i.e., of practical-normative reason) against the Popperian "primacy of theory" (i.e., of theoretical-instrumental reason). One of the basic aims that I associate with critical pragmatism is indeed to recover for pragmatic thought Kant's lost notion of the two-dimensional character of reason, according to which reason is always theoretical and practical reason at the same time. It is only because this notion has been lost in mainstream science theory and has also remained underdeveloped in American pragmatism, that today we have to rediscover it and have to assure ourselves that "theoretical argumentation is not coextensive with the reach of rational argumentation in general" (Ulrich, 2007a, concluding section). [BACK]
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Locke, A.L. (ed.) (1925). The New Negro: an Interpretation. New York: Albert and Charles
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Schön, D. (1983). The Reflective Practitioner: How Professionals Think in Action. New York: Basic Books.
Schön, D. (1987). Educating the Reflective Practitioner: Toward a New Design for Teaching and Learning in the Professions. San Francisco: Jossey-Bass.
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Ulrich, W. (2000). Reflective practice in the civil society: the contribution of critically systemic thinking. Reflective Practice, 1, No. 2, pp. 247-268
Ulrich, W. (2001). The quest for competence in systemic research and practice. Systems Research and Behavioral Science, 18, No. 1, pp. 3-28.
Ulrich, W. (2003). Beyond methodology choice: critical systems thinking as critically systemic discourse. Journal of the Operational Research Society, 54, No. 4 (April), pp. 325-342.
Ulrich, W. (2006a). Critical pragmatism: a new approach to professional and business ethics. In L. Zsolnai (ed.), Interdisciplinary Yearbook of Business Ethics, Vol. I. Peter Lang: Oxford, UK, and Bern, Switzerland, pp. 53-85.
Ulrich, W. (2006b). A plea for critical pragmatism. (Reflections on critical pragmatism, Part 1). Ulrich's Bimonthly, September-October 2006. [HTML] http://wulrich.com/bimonthly_september2006.html
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Ulrich, W. (2006d). Theory and practice I: beyond theory. (Reflections on critical
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Ulrich, W. (2007a). Theory and practice II: the rise and fall of the "primacy of theory." (Reflections on critical pragmatism, Part 3). Ulrich's Bimonthly, JanuaryFebruary 2007.
[HTML] http://wulrich.com/bimonthly_january2007.html
Ulrich, W. (2007b). The greening of pragmatism (i): the emergence of critical pragmatism. (Reflections on critical pragmatism, Part 4). Ulrich's Bimonthly, March-April 2007. [HTML] http://wulrich.com/bimonthly_march2007.html
White, S.K. (2004). The very idea of a critical social science: a pragmatist turn. In F. Rush (ed.), The Cambridge Companion to Critical Theory, Cambridge, UK: Cambridge University Press, pp. 310-335.
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The inseparable trio (three cornerstones of critical pragmatism)
„We can situate critical pragmatism in the center of three research traditions: critical theory, pragmatic thought, and reflective practice. They constitute the inseparable trio of critical pragmatism."
(From this reflection on the nature of critical pragmatism)
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The Anne Arundel County Inventory of Historic Properties (AAIHP)
Following are the properties, buildings, structures, and districts found on the County Inventory of Historic Properties listed by Tax Account number in ascending order. Most of the list is comprised of individually important buildings and sites. The list also includes clusters or concentrations of multiple related historic resources that comprise a historic district, area, or neighborhood. Within these districts, there are both "contributing" and non-contributing" resources. At this time, CRD staff is working on district specific maps that identify those buildings in a district that are considered contributing structures. Note that archaeological sites are not listed as there locations and details are protected by the State Historic Preservation Office.
Cemeteries have also note yet been incorporated in this list as field verification of current paper files held in the AA County office is in progress. To obtain additional information about the historic resources on the County Inventory, contact our office or visit the Information Counter for Maps, Publications and Services at the Heritage Office Complex.
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0291 | | Cedars, The/ Alois Residence | | 4963 | | Sudley Rd. |
| | AA0138 | | Tulip Hill | | 4621 | | Muddy Creek Rd. |
| | AA0909 | | Tulip Hill Tenant House | | 4621 | | Muddy Creek Road |
| | AA2063 | | Ralph Bunche School | | 374 | | Mill Swamp Rd. |
| | AA2207 | | Mayo Elementary School | | 1152 | | E. Central Ave. |
| AA0165 | | | London Towne Publik House/ William | 839 | | Londontown Rd. | |
| | AA0165 | | Brown House (see also 18AN48) | | 839 | | Londontown Rd. |
| | AA0162 | | Cobb Residence (Countess) | | 372 | | W. Central Ave. |
| AA2304 | | | Galesville Heritage Museum/ Carrie | 988 | | Main Street | |
| | AA2304 | | Weedon House | | 988 | | Main Street |
| | AA0099 | | Friend's Choice | | 3631 | | Queen Anne Bridge Rd |
| | AA0207 | | Roedown | | 3856 | | Wayson Rd. |
| | AA0902 | | Clifton Park | | 4611 | | Owensville-Sudley Rd. |
| AA0847 | | | Hillary-Main House (Main's | 3659 | | Riva Rd. | |
| | | | Greenhouse) | | | | |
| AA0141 | | Cedar Park | | 883 | | Cumberstone Rd. | |
| AA0141A | | Cedar Park Slave/Tenant Quarter | | 883 | | Cumberstone Rd. | |
| | AA0141A | | Cedar Park Slave/Tenant Quarter | | 883 | | Cumberstone Rd. |
| | AA0916 | | James Hicks House | | 936 or 946 | | West Benning Rd. |
| | AA0852 | | The Discovery (Carr Hse) | | 3426 | | Riva Rd. |
| | AA0226 | | Margaret's Fields | | 3923 | | Shoreham Beach Rd. |
| | AA0283 | | Chew House | | 4735 | | Sudley Road |
| | AA0150 | | All Hallows Church | | 3600 | | Solomons Island Road |
| AA0126 | | | Chew Memorial Church (Chew United | 492 | | Owensville | |
| | | | Methodist Church) | | | | |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0079 | | | Davidsonville United Methodist | 815 | | W Central Ave. | |
| | | | Church (also see AA1006 | | | | |
| | AA0079 | | Davidsonville HD) | | 815 | | W Central Ave. |
| | AA1003 | | Davidsonville UM Church Parsonage | | 815 | | W. Central Ave. |
| | AA0046 | | Mt. Zion United Methodist Church | | 122 | | Bayard Road |
| | AA0778 | | St. Mark's M. E. Church | | 0 | | Beverly Ave & Rogers Rd |
| | AA0202 | | All Hallows Chapel | | 864 | | W. Central Ave. (Rt. 214) |
| AA0770 | | | Our Lady of Sorrows Roman Catholic | 101 | | Owensville Road | |
| | AA0770 | | Church | | 101 | | Owensville Road |
| | AA0290 | | Christ Church Rectory | | 230 | | Owensville Rd. |
| | AA0221 | | Christ Church | | 220 | | Owensville Rd. (Rt. 255) |
| | AA0289 | | Christ Church Parish Hall | | 204 | | Owensville Rd. |
| | AA0220 | | Coleman Residence | | 4601 | | S. Polling House Rd. |
| AA0225B | | | Ivy Neck Tenant House #2 (Slave | 1312 | | Cumberstone Rd. | |
| | AA0225B | | Quarters) | | 1312 | | Cumberstone Rd. |
| | AA0225E | | Ivy Neck Tobacco Barn | | 1312 | | Cumberstone Rd. |
| | AA0234 | | Ivy Neck Farm Granary | | 1312 | | Cumberstone Rd. |
| | AA1063 | | Colhoun House/ Jennings House | | 1312 | | Cumberstone Rd. |
| AA0225C | | | Ivy Neck Tenant House #3 (Daniels | 1366 | | Cumberstone Rd. | |
| | AA0225C | | House II) | | 1366 | | Cumberstone Rd. |
| | AA0225F | | Ivy Neck Cornhouse | | 1366 | | Cumberstone Rd. |
| | AA0225G | | Ivy Neck Stable/Browsing Shed | | 1366 | | Cumberstone Rd. |
| AA0235 | | | Atholl (Richard Hardesty Farm - see | 902 | | Cumberstone Rd. | |
| | AA0235 | | also AA-73) | | 902 | | Cumberstone Rd. |
| | AA2085 | | Crandell Residence | | 4848 | | Muddy Creek Road |
| | AA0286 | | Old Methodist Parsonage | | 159 | | Owensville Rd. |
| | AA0200 | | Indian Range | | 1012 | | Mt. Airy Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0200A | | Indian Range Servant's Quarters | | 1012 | | Mt. Airy Rd. |
| | AA0240 | | Batchelor's Choice | | 29 | | Batchelors Choice Lane |
| | AA0240A | | Batchelor's Choice Servant's Quarter | | | | Batchelors Choice Lane |
| | AA0298 | | Kolb's Store | | | | Main St. |
| | AA0287 | | Smith's Purchase | | 160 | | Owensville Rd. |
| | AA2057A | | J. Irving Bird Jr. House | | 205 | | Mill Swamp Rd. |
| | AA0244 | | Runnymede | | 183 | | Bayard Rd. |
| | AA2218 | | Birch Manor | | 842 | | Hillside Ave |
| | AA2455 | | Beverly Beach/Congressional Ski Club | | 1205 | | Rogers Rd |
| | AA0210 | | Grimes Residence/ Hill N'Dale Farm | | 3525 | | Birdsville Rd. |
| AA2304 | | | Galesville Heritage Museum/ Carrie | 988 | | Main Street | |
| | AA2304 | | Weedon House | | 988 | | Main Street |
| | AA0218 | | W.P. Harrison House | | 255 | | Polling House Rd. |
| | AA2450 | | 4701 Bayfield Rd | | 4701 | | Bayfield Rd |
| | AA0917 | | Benjamin Crowner House | | 950 | | West Benning Rd. |
| | AA0215 | | W. Tudor Jones Residence | | 412 | | Polling House Rd. |
| | AA0157 | | Bridge Hill | | 3808 | | Birdsville Rd. |
| | AA0285 | | Latham Residence | | 153 | | Owensville Rd. (Rt. 255) |
| | AA2077 | | August Quade House | | 3925 | | Whitemarsh Lane |
| | AA2070 | | Clara/Ida/Frank Bird House | | 3853 | | Solomons Island Rd. |
| | AA0100 | | Glenstrae Farm/ Mackey Farm | | 3843 | | Queen Anne Bridge Rd |
| | AA2504 | | Mayo Civic Association | | 1175 | | Central Avenue E. |
| | AA2057B | | Jacob Bird Tenanat House #2 | | 305 | | Mill Swamp Rd. |
| | AA0214 | | Fox Hall Farm | | 670 | | Polling House Rd. |
| | AA0276 | | Moreland House/ Quarter Place | | 216 | | Mt. Zion Marlboro Rd. |
| | AA2278 | | Bungalow | | 3167 | | Solomon's Island Road |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2062 | | Chew's Mem.U.M. Chr.Parsonage | | 416 | | Old Mill Swamp Rd. |
| | AA0274 | | Mushake Residence | | 232 | | Farmhouse Lane |
| | AA0275 | | Mushake Tobacco Barn | | 232 | | Farmhouse Lane |
| | AA0862 | | Davidson-Neall House | | 829 | | W. Central Ave. (Rt. 214) |
| | AA1001 | | William Neall House | | 771 | | W. Central Ave. |
| | AA2074 | | Brashears/Witt House | | 1032 | | Carrs Wharf Rd. |
| | AA0142 | | P. T. Owings Residence | | 349 | | S. River Clubhouse Rd. |
| | AA2277 | | Country Stove Store | | 3157 | | Solomon's Island Road |
| | AA0282 | | Tamarack Hill | | 85 | | Owensville Rd. |
| | AA0858 | | Talbott's Lot/ Hegge House | | 846 | | W. Central Ave. (Rt. 214) |
| | AA0861 | | Talbott's Lot II/ Edna Suitt House | | 844 | | W. Central Ave. (Rt. 214) |
| | AA2068 | | Contee's Wharf Houses | | 734 &… | | Contee's Wharf Rd. |
| | AA0222 | | Ricks Farmhouse | | 441 | | Owensville Rd. (Rt. 255) |
| | AA0279 | | Cherry Hill | | 4501 | | Owensville-Sudley Rd |
| | AA2441 | | Collinson Property | | 4758 | | Solomons Island Rd. |
| | AA1005 | | Simmons-Beall House (Davidsonville) | | 834 | | W. Central Ave |
| | AA0158 | | The Cedars/ Sinclair Residence | | 3501 | | Cedars Stable Rd. |
| | AA0153 | | Mary's Mount | | 146 | | Mary's Mount Rd. |
| | AA0225A | | Ivy Neck Tenant House #1 | | 0 | | Cumberstone Rd. |
| AA0225D | | | Ivy Neck Tenant House #4 / George | 0 | | Cumberstone Rd. | |
| | AA0225D | | Downs House | | 0 | | Cumberstone Rd. |
| | AA0140 | | South River Club | | 300 block | | S. River Club Rd. |
| AA0156 | | | Mariott Hill (Part of Hookers | 9 | | Harwood Drive | |
| | | | Purchase) | | | | |
| AA0860 | | | Talbott's Lot III/ Dorothy Suit | 856 | | W. Central Ave. | |
| | | | Residnece | | | | |
5
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2442 | | 852 W Central Ave | | 852 | | W Central Ave. |
| | AA0160 | | Mount Airy | | 849 | | Mt. Airy Road |
| AA0209 | | | Willow Lake Farm House (Little | 3590 | | Willow Lake Farm Road | |
| | AA0209 | | Clifton) | | 3590 | | Willow Lake Farm Road |
| | AA2358 | | Richland Farm | | 195 | | Harwood Road |
| AA0911 | | | Rose Turners House (Site) Susan | 4677 | | Muddy Creek Rd. | |
| | AA0911 | | Turner House | | 4677 | | Muddy Creek Rd. |
| | AA0993 | | Davidsonville NIKE Site W-25 | | 3798 | | Queen Anne Bridge Rd. |
| | AA0203 | | Tilden Lawn | | 1008 | | W. Central Ave. |
| | AA0201 | | Vitzthum Residence | | 3287 | | Davidsonville road |
| | AA0148 | | Middle Ridge Farm and Store | | 3631 | | Muddy Creek Rd. |
| | AA0284 | | Peake House | | 4725 | | Sudley Rd. |
| | AA0741 | | Oakwood | | 4566 | | Solomons Island Rd. |
| | AA0233 | | Whall Residence (Daniels House I) | | 1383 | | Cumberstone Rd. |
| | AA0281 | | Anne Cheston's Teahouse | | 4837 | | Solomons Island Rd. |
| | AA0913 | | Wilson Farmhouse, The | | 862 | | Galesville Rd. |
| | AA2320 | | Galesville Negro League Ball Field | | | | |
| | AA0288 | | Wirth Residence Cross Roads | | 207 | | Owensville Rd. |
| | AA0919 | | The Turner/Smith House | | 947 | | West Benning Road |
| | AA0920 | | Weston House/ Crowner House | | 951 | | West Benning Rd. |
| | AA0921 | | Robert Crowner House | | 955 | | West Benning Rd. |
| | AA2459 | | Agricultural Farm Complex #2 | | 4956 | | Muddy Creek Rd. |
| | AA2458 | | Agricultural Farm Complex #1 | | 4976 | | Muddy Creek Rd. |
| | AA0280 | | Woodside | | 4894 | | Solomons Island Rd. |
| | AA0224 | | Parkhurst | | 1059 | | Cumberstone Rd. |
| | AA0907 | | Parkhurst Tenant House | | 1074 | | Cumberstone Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2467 | | Carr Farm Complex | | 3589 | | Riva Road |
| | AA0159 | | Davidson House | | 746 | | W. Central Ave. |
| | AA0144 | | Summerhill | | 501 | | W. Central Ave. |
| | AA0154 | | Etowah Farm | | 4086 | | Solomon's Island Rd. |
| | AA0212 | | Arden | | 449 | | Harwood Rd. |
| | AA2064 | | Hazelnut Ridge | | 165 | | Fiddler's Hill Rd. |
| | AA2447 | | Hartge House | | 4881 | | Church Lane |
| | AA0134 | | Evergreen/ Parson's Hills/ The Peale | | 4994 | | Sudley-Owensville Rd. |
| | AA2072 | | Hartwell/Bassford House | | 3745 | | Birdsville Rd. |
| | AA0910 | | Poplar Knowle Frm Tenant Hse 2 | | 4651 | | Muddy Creek Rd. |
| AA0914 | | | Galesville Elementary School | 916 | | West Benning Rd. | |
| | AA0914 | | (Rosenwald) | | 916 | | West Benning Rd. |
| | AA0149 | | Sellman Farm Tenant House | | 3803 | | Contee's Wharf Lane |
| | AA0232 | | Gresham | | 784 | | Central Avenue W. |
| | AA0237 | | Poplar Knowle | | 835 | | Cumberstone Rd. |
| | AA0908 | | Poplar Knowle Frm Tenant Hse 1 | | 815 | | Cumberstone Rd. |
| AA1002 | | | Davidsonville Store (Davidsonville | 801 | | Central Avenue W. | |
| | AA1002 | | Supply) | | 801 | | Central Avenue W. |
| | AA0096 | | All Hallows Rectory | | 805 | | W. Central Ave. |
| | AA0151 | | Larkins Hills (Also Hills and Inn) | | 3991 | | Solomons Island Road |
| | AA0155 | | Obligation | | 4020 | | Solomons Island Rd. |
| | AA0270 | | Nelli & Hobson Jones Residence | | 775 | | Polling House Rd. |
| | AA2061 | | Clydesdale Farm | | 3685 | | Clydesdale Rd. |
| | AA2075 | | Henry Behlke House | | 3919 | | Whitemarsh La. |
| | AA0198 | | Elizabeth's Fancy/ Champs Adventure | | 3011 | | Patuxent River Rd. |
| | AA0905 | | Creekside/Land's End Farm (Jane's | | 4504 | | Forest Point Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | | | House) | | | | |
| | AA0163 | | Tudor Hall | | 332 | | Derbyshire Lane |
| | AA0850 | | Holy Family Catholic Church | | 830 | | W. Central Ave. |
| AA0204 | | | Linden Grove/ White Chimneys/ | 3667 | | Friends Choice Dr. | |
| | AA0204 | | Friends Choice | | 3667 | | Friends Choice Dr. |
| | AA0213 | | Hawthorne Ridge | | 512 | | Lankford Rd. |
| | AA1062 | | Newton Brewer House | | 3399 | | Pocahontas Dr. |
| | AA0167 | | Larrimore Point | | 1557 | | Widows Mite Road |
| AA0152 | | | Larkins Hundred (Great House/ | 246 | | Mill Swamp Rd. | |
| | AA0152 | | Castle/ O'Hara's Castle) | | 246 | | Mill Swamp Rd. |
| | AA0199 | | Velmeade II | | 3295 | | Patuxent River Rd. |
| | AA0272 | | V. Shepherd Wayson Residence | | 686 | | Mt. Zion Marlboro Rd. |
| | AA0243 | | Biggs Purchase | | 214 | | Biggs Purchase Lane |
| | AA1060 | | C. Carroll Lee Farm | | 3022 | | Solomons Island Rd. |
| | AA2473 | | Green/Bradshaw/Akers House | | 1471 | | Fairfield Loop Rd |
| AA2502 | | | William & Catharine Hammond | 1717 | | Old Generals Hgwy. | |
| | AA2502 | | House | | 1717 | | Old Generals Hgwy. |
| | AA0192 | | Hall's Grove | | 2488 | | Davidsonville Rd. |
| | AA2443 | | Sailboat Bank | | 2350 | | Solomons Island Rd. |
| | AA0179 | | Rising Sun Inn | | 1090 | | Generals Hgwy. (Rt. 178) |
| | AA2489 | | Carr & Augustine House | | 1240 | | Generals Highway |
| | AA2503 | | Richard Thomas Anderson House | | 1341 | | Sunrise Beach Rd |
| | AA2495 | | Willson House | | 1393 | | Generals Highway |
| AA0175 | | Brooksby Point | | | | | E. side Rt. 178,1/2 mile N. of Millersville |
| | | | | | | | Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0180 | | Steffanelli Tenant House | | | | N. side of Herald Harbor Rd., E. of Rt. 178 | |
| | AA0180 | | Steffanelli Tenant House | | | | N. side of Herald Harbor Rd., E. of Rt. 178 |
| | AA2500 | | 1892 Generals Highway | | 1892 | | Generals Highway |
| | AA0193 | | Middle Plantation | | 2621 | | Davidsonville Rd.(Rt.424) |
| | AA2429 | | Hall-Brown House | | 1820 | | Hall Brown Road |
| | AA0873 | | John W. Pindell Farm | | 2112 | | Edwin Lane |
| | AA0992 | | Harnesses | | 724 | | Harness Creek View Dr. |
| | AA2485 | | Amos & Alice Carr House | | 1218 | | Generals Highway |
| | AA2487 | | Amos E. Carr House | | 1222 | | Generals Highway |
| | AA0105 | | St. Stephen's Church | | 1110 | | St. Stephen's Church Rd. |
| | AA0182 | | St. Paul's Chapel | | 1505 | | Crownsville Rd. |
| | AA2496 | | Donaldson House | | 1401 | | Generals Highway |
| | AA2484 | | Brenda Donaldson House | | 1192 | | Generals Highway |
| | AA1059 | | Ridgely Avenue School | | 620 | | Ridgely Avenue |
| | AA2353 | | Girl's Scout Lodge, Camp Woodlands | | 2744 | | Riva Road |
| | AA2480 | | Alexander Randall House | | 1115 | | Generals Highway |
| | AA0208 | | J.B. Fulton House (Sunny Acres) | | 1401 | | Rossback Rd. |
| | AA0191 | | Rosehill/ CE Hopkins House | | 2106 | | Rose Hill Lane |
| | AA0178 | | Part of Providence | | 1145 | | Generals Hgwy. (Rt. 178) |
| AA0899 | | Carr Log House | | 0 | | | Island off Indian Landing Rin Severn |
| | AA0899 | | Carr Log House | | 0 | | River, d |
| | AA0955 | | Indian Landing | | 930 | | Indian Landing Rd. |
| | AA2483 | | Upton Bagger House | | 1184 | | Generals Highway |
| | AA2491 | | Gies-Jones House | | 1272 | | Generals Highway |
| | AA0943 | | Toad Hall | | 3188 | | Arundel On the Bay Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0161 | | | Brampton (Old Maccubbin House/ | 320 | | Cape St. John Rd. | |
| | AA0161 | | Lackey Res.) | | 320 | | Cape St. John Rd. |
| | AA2474 | | Green and Bradshaw House | | 1477 | | Fairfield Loop Rd |
| | AA0853 | | Cedars/Cedar Hill (Enright's) | | 1101 | | Meredith Lane |
| | AA2313 | | Foursquare House | | 7 | | Gladden Road |
| | AA2477 | | Old Hickory Store | | 1032 | | Generals Highway |
| | AA2490 | | William & Alice Carr House | | 1248 | | Generals Highway |
| AA2246 | | Cross-gable farmhouse | | 812 | | Richard Tongue Drive (old 1151 Ind. Ldg. | |
| | AA2246 | | Cross-gable farmhouse | | 812 | | Richard Tongue Drive (old 1151 Ind. Ldg. |
| | AA2481 | | Blakeslee-Parker House | | 1132 | | Generals Highway |
| | AA2479 | | Fannie M. Williams House | | 1089 | | Generals Highway |
| | AA2486 | | James A. Carr House | | 1201 | | Generals Highway |
| | AA2497 | | Sherman & Georgianna Green Farm | | 1405 | | Generals Highway |
| | AA2498 | | Siwak House | | 1409 | | Generals Highway |
| | AA2501 | | Brady House | | 1933 | | Generals Highway |
| | AA2478 | | Benjamin Williams Log Cabin | | 1080 | | Generals Highway |
| | AA2359 | | Ellershaw Log House & Bomb Shelter | | 997 | | Chesterfield Road |
| | AA2472 | | Hatch & Hopkins House | | 1427 | | Fairfield Loop Rd |
| | AA2488 | | George & Grace Beasley House | | 1237 | | Generals Highway |
| | AA2476 | | Edward Grafflin House | | 825 | | Generals Highway |
| | AA0884 | | Rosary Manor | | 1545 | | Severn Chapel Rd. |
| | AA2468 | | Jane Baldwin Cotton House | | 1069 | | Baltimore Hill Rd |
| | AA2382 | | Thomas W. Hall Farm | | ? | | Johns Hopkins Road |
| | AA2471 | | Robert & Pamela Arteche House | | 1346 | | Fairfield Loop Rd |
| | AA2482 | | 1176 Generals Highway | | 1176 | | Generals Highway |
| | AA0107 | | Baldwin Memorial U.M. Church | | 920 | | Generals Hgwy. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0181 | | | Wanbaugh House/Coile Residence/ | 657 | | Herald Harbor Rd. | |
| | AA0181 | | Henry House | | 657 | | Herald Harbor Rd. |
| | AA0168 | | Lydia's Rest | | 3240 | | Harness Creek Rd. |
| AA0735 | | | Mt. Tabor Methodist Episcopal | 1421 | | St. Stephens Church Rd. | |
| | | | Church | | | | |
| AA0775 | | | Mt. Tabor Good Samaritan Lodge #59 | 1407 | | St. Stephens Church Road | |
| | | | (Sons & Daughters of Levi Society #1) | | | | |
| AA0875 | | | John C. Green House/ aka | 1264 | | Indian Landing Rd. | |
| | AA0875 | | Rosecommon | | 1264 | | Indian Landing Rd. |
| | AA0066 | | Taylorsville House | | 3048 | | Riva Road |
| | AA2493 | | John & Mary Wilson House | | 1375 | | Generals Highway |
| | AA2494 | | The Green Family House | | 1381 | | Generals Highway |
| | AA1050 | | C.E. Smith House | | 336 | | Dubois Rd |
| | AA0932 | | Annapolis Water Company | | 260 | | Defense Highway |
| | AA0196 | | Locust Farm | | 2868 | | Old Davidson Rd. |
| | AA0010 | | Hammond Log Barn | | 2295 | | Davidsonville Road |
| AA0188 | | | Linthicum Walks/ Bright Seat (King | 2295 | | Davidsonville Rd. | |
| | AA0188 | | House) | | 2295 | | Davidsonville Rd. |
| | AA2492 | | Judy House | | 1370 | | Generals Highway |
| | AA0177 | | Bunker Hill | | 1361 | | Millersville Road |
| | AA0177A | | Bunker Hill Slave Quarter | | 1361 | | Millersville Road |
| | AA2444 | | 2042 Generals Hwy | | 2042 | | Generals Highway |
| | AA0185 | | Vineyard/Kublitz House | | 1718 | | Old Generals Hgwy. |
| | AA0904 | | Tucker House | | 2715 | | Riva Rd. |
| AA0882 | | | Robert L. Forney Farm/ Thomas | 1218 | | Forney Rd. | |
| | AA0882 | | Crandell Farm) | | 1218 | | Forney Rd. |
| | AA0780 | | Wilson Memorial M.E. Church | | 1113 | | Crain Hwy. |
| | County | | | | | | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0753 | | Large Frame Bungalow | | 1296 | | Crain Hwy |
| | AA2465 | | Annapolis Roads White Gates | | 0 | | Carrollton Rd |
| | AA2463 | | Annapolis Roads Golf Course | | 0 | | Carrollton Rd |
| | AA2465 | | Annapolis Roads White Gates | | 0 | | Carrollton Rd |
| | AA0810 | | Arundel-on-the-Bay House #1 | | 1365 | | Chestnut Ave |
| | AA0811 | | Arundel-on-the-Bay House #2 | | 1363 | | Myrtle Ave |
| | AA0183 | | Belvoir | | 1223 | | Algonquin Rd. |
| | AA2470 | | 825 Cedarcroft Drive | | 825 | | Cedarcroft Dr |
| | AA0187 | | Whites Hall/ White Hall farm | | 2173 | | Johns Hopkins Rd. |
| | AA0195 | | Mulberry Hill/ Howards Inheritance | | 1000 | | St. George Barber Rd. |
| AA0981 | | St. Geo. Barber House & Outbuildings | | | 2500 or | Howard Grove Rd. | |
| | | | | | 2502 | | |
| AA0981 | | St. Geo. Barber House & Outbuildings | | | 2500 or | Howard Grove Rd. | |
| | AA0981 | | St. Geo. Barber House & Outbuildings | | 2502 | | Howard Grove Rd. |
| | AA2438 | | Hammond & Polly Dorsey Cottage | | 1764 | | Broadlee Trail |
| | AA0942 | | The Key School in Hiillsmere | | 532 | | Hillsmere Dr. |
| | AA0946 | | Homeport Farm | | 8 & 11 | | Homeport Dr. |
| | AA0946 | | Homeport Farm | | 8 & 11 | | Homeport Dr. |
| AA0103 | | | Anne Arundel Free School (also | 1298 | | Lavall Dr. | |
| | AA0103 | | 18AN252) | | 1298 | | Lavall Dr. |
| | AA2109 | | 13 Loretta Avenue | | 13 | | Loretta Avenue |
| | AA2110 | | 15 Loretta Avenue | | 15 | | Loretta Avenue |
| | AA0260 | | Nancarles | | 2301 | | Nancarles Dr. |
| | AA0174 | | Abbington Farm | | 1761 | | Severn Chapel Rd. |
| | AA0143 | | Old Bloomfield (Part of Brampton) | | 2905 | | Good Luck Lane |
| | AA2499 | | Carr House | | 1838 | | Generals Highway |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0935 | | Watts Farmhouse, The | | 948 | | St.Stephens Church Rd. |
| AA0164 | | | Randall, Alexander House/ Shadow | 1 | | Poplar Point Rd. | |
| | AA0164 | | Point Caretaker's House | | 1 | | Poplar Point Rd. |
| | AA0186 | | Iglehart/ The Vineyard | | 1708 | | Mansion Ridge Rd. |
| | AA0007 | | 421 Ferry Point Road / Buckley | | 421 | | Ferry Point Rd |
| AA0136 | | | Howard's Inheritance (now 721 | 721 | | Howard's Loop | |
| | AA0136 | | Howards Loop) | | 721 | | Howard's Loop |
| | AA1048 | | Arnold School | | 44 | | Church Road |
| | AA2272 | | 8399 Oak Drive | | 8399 | | Oak Drive |
| | AA1049 | | Asbury Methodist Church | | 78 | | Church Road |
| AA2066 | | | Halls Memorial Church Hall/ Marley | 7780 | | Solley Rd. | |
| | AA2066 | | Neck Rosenwald School | | 7780 | | Solley Rd. |
| | AA1043 | | Magothy UM Church | | 3701 | | Mountain Rd. |
| | AA2050 | | Magothy Methodist Church Hall | | 3701 | | Mountain Rd. |
| | AA0318 | | St. Margarets Church | | 1601 | | Pleasant Plains Rd. |
| | AA0956 | | Bay Head Manor | | 1500 | | Whitehall Rd. |
| | AA2113 | | Thomas A. Brown House | | 207 | | Cypress Creek Rd. at Dill Rd |
| | AA1014 | | Brown's Corner Store | | 1841 | | St. Margarets Rd. |
| | AA2253 | | 4374 Mountain Road | | 4368 | | Mountain Road |
| | AA0324 | | Duvall House/ Maidenstone Farm | | 1806 | | Pleasant Plains Rd. |
| | AA1095 | | Mountain Road Farm House | | 4808 | | Mountain Rd. |
| AA0314 | | | Erwincrest (Horace Winchester | 1689 | | Baltimore-Annapolis Boulevard | |
| | AA0314 | | Farmhouse) | | 1689 | | Baltimore-Annapolis Boulevard |
| | AA2260 | | 4487 Mountain Road | | 4487 | | Mountain Road |
| | AA0336 | | Alfred Stinchcomb House | | 1346 | | Bay Head Rd. |
| AA2369 | | Freetown Rosenwald | 7825 | | Freetown Road | |
|---|---|---|---|---|---|---|
| | | School/Freetown Improvement | | | | |
| | AA2369 | Association | | 7825 | | Freetown Road |
| | AA2052 | Winchester Road House | | 1608 | | Winchester Rd. |
| | AA2252 | 8328 Schmidt's Lane | | 8328 | | Schmidt's Lane |
| AA0129 | | Hancock's Resolution (Also see | 2793 | | Bayside Beach Rd. | |
| | AA0129 | 18AN169) | | 2793 | | Bayside Beach Rd. |
| | AA2259 | 4485 Mountain Road | | 4485 | | Mountain Road |
| | AA2261 | 4499 Mountain Road | | 4499 | | Mountain Road |
| | AA2440 | McBride Lane Log House | | 408 | | McBride Lane |
| | AA2452 | 212 Jumper's Hole Rd. | | 212 | | Jumper's Hole Rd |
| AA1057 | | Earleigh Heights Store & Station (Post | 51 | | Earleigh Heights Rd. | |
| | | Office )/ B & A Hiking/Biking Trail | | | | |
| | AA1057 | Ranger Station | | 51 | | Earleigh Heights Rd. |
| | AA0074 | Holly Beach Farm | | 1800 | | Holly Beach Farm Rd. |
| | AA2457 | Tudor Revival | | 2077 | | Maidstone Farm Rd |
| | AA0128 | House on Mountain Road | | 2601 | | Mountain Rd. at Old Mill Rd. |
| | AA1045 | Scholtz-Listman House | | 321 | | Magothy Bridge Rd. |
| | AA2265 | 4583 Mountain Road | | 4583 | | Mountain Road |
| | AA2266 | 4589 Mountain Road | | 4589 | | Mountain Road |
| | AA2267 | 4597 Mountain Road | | 4597 | | Mountain Road |
| | AA0313 | Manresa | | 85 | | Manresa Rd. |
| | AA2436 | 4765 Mountain Road | | 4765 | | Mountain Road |
| AA0133 | | Wilson House (Cloverlea or | 900 | | Mago Vista Rd. | |
| | AA0133 | Strawberry Plain) | | 900 | | Mago Vista Rd. |
| | AA2264 | 4558 Mountain Road | | 4558 | | Mountain Road |
| | AA2262 | 4505 Mountain Road | | 149 | | Mountain Road |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2256 | | 4426 Mountain Road | | 4426 | | Mountain Road |
| | AA2257 | | 4439 Mountain Road | | 4439 | | Mountain Road |
| | AA2258 | | 4447 Mountain Road | | 4447 | | Mountain Road |
| | AA0322 | | Weedon Farmhouse/ Scotland | | 1741 | | Holly Beach Farm Rd. |
| | AA0329 | | Whitehall Stables | | 1855 | | Whitehall Rd. |
| | AA0338 | | Woodly Farmhouse | | 1739 | | Whitehall Rd. |
| | AA0325 | | Whitehall | | 1915 | | Whitehall Road |
| | AA0309 | | Sears Residence | | 30 | | Jones Station Rd. |
| | AA0316 | | Old St. Margarets Rectory | | 1579 | | St. Margarets Rd. |
| | AA0303 | | My Lord's Gift | | 205 | | Baltimore-Annapolis Boulevard |
| | AA0304 | | Spriggs Farmhouse | | 965 | | Bayberry Drive |
| AA0326 | | | Taylor Residence/ Whitehall | 1520 | | Ridout Lane | |
| | AA0326 | | Overseer's Quarters | | 1520 | | Ridout Lane |
| | AA0326A | | Taylor Residence (Log Dupex) | | 1520 | | Ridout Lane |
| AA2462 | | The Stewart House | | 1031 | | Old County Rd | |
| | AA2462 | | The Stewart House | | 1031 | | Old County Rd |
| | AA1085 | | Marley Neck School | | 7489 | | Marley Neck blvd. |
| | AA0038 | | Annapolis--Bay Bridge NIKE Site | | 1651 | | Bay Head Road |
| | AA2234 | | 8399 Carol Drive House | | 8399 | | Carol Drive |
| | AA0937 | | Jefferson M. Cook House | | 5109 | | Mountain Rd. |
| | AA2054 | | Jones Station House | | 50 | | Hoyle Lane |
| | AA0317 | | John Small House | | 1563 | | St. Margarets Rd. |
| | AA0339 | | Goshen/ Radoff House | | 1420 | | Cape St. Claire Rd. |
| | AA0339A | | Goshen tenant House | | 1420 | | Cape St. Claire Rd. |
| | AA1044 | | Mt. Zion Methodist Church | | 8178 | | Artic Drive |
| | AA0135 | | Hersh-Arnold House | | 344 | | Freshfield Lane |
| | AA0897 | | Fort Smallwood (Park Building G) | | 9500 | | Fort Smallwood Rd |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0897A | | | Fort Smallwood Barracks Bldg. Park | 9500 | | Fort Smallwood Rd | |
| | AA0897A | | Building C) | | 9500 | | Fort Smallwood Rd |
| | AA0898 | | Fort Smallwood Park | | 9500 | | Fort Smallwood Rd |
| AA0898A | | | Fort Smallwood Park 9Concession | 9500 | | Fort Smallwood Rd | |
| | | | Stand) | | | | |
| AA0898B | | | Fort Smallwood Park 9Comfort | 9500 | | Fort Smallwood Rd | |
| | AA0898B | | Station) | | 9500 | | Fort Smallwood Rd |
| | AA0898C | | Fort Smallwood Park | | 9500 | | Fort Smallwood Rd |
| AA0898D | | | Fort Smallwood Park (Concrete Block | 9500 | | Fort Smallwood Rd | |
| | | | bathhouse) | | | | |
| AA0898E | | | Fort Smallwood Park (comfort | 9500 | | Fort Smallwood Rd | |
| | AA0898E | | station) | | 9500 | | Fort Smallwood Rd |
| | AA0898F | | Fort Smallwood Park (Pavilion) | | 9500 | | Fort Smallwood Rd |
| | AA0898G | | Fort Smallwood Park | | 9500 | | Fort Smallwood Rd |
| AA0898H | | | Fort Smallwood Park (concession | 9500 | | Fort Smallwood Rd | |
| | | | Stand) | | | | |
| AA0898I | | | Fort Smallwood Park (Concrete Block | 9500 | | Fort Smallwood Rd | |
| | AA0898I | | bathhouse) | | 9500 | | Fort Smallwood Rd |
| | AA2254 | | 4405 Mountain Road | | 4405 | | Mountain Road |
| AA1058 | | | Christ Lutheran Church / Listman | 8249 | | Jumpers Hole Rd. | |
| | AA1058 | | Chapel | | 8249 | | Jumpers Hole Rd. |
| | AA0807 | | Henry Alfred Cook Farm | | 2793 | | Marshy Point Lane |
| | AA0779 | | Wayman's Good Hope A.M.E.Chrch | | 100 | | Hoyle Lane |
| | AA2285 | | Kinder Farm | | | | Jumpers Hole Road |
| | AA2451 | | 1758 Baltimore-Annapolis Blvd. | | 1758 | | Baltimore-Annapolis Blvd. |
| AA2053 | | B & A RR Car Barn | | 968 | | B & A Blvd. | |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0310 | | AACo. Historical Soc. Headquarters | | | | Jones Station Rd. |
| | AA0951 | | St. Conrad's Friary | | 1604 | | Winchester Rd. |
| | AA0308 | | Isaac Cox House | | 101 | | College Parkway |
| | AA0323 | | Pleasant Plains | | 1837 | | Pleasant Plains Rd. |
| | AA1011 | | Pettibone House | | 1566 | | Bay Head Road |
| | AA1013 | | Brice House | | 1811 | | Rt. 648 (B&A Blvd) |
| AA0302 | | | Severna Park Station/ WB & A | | | Riggs Ave & Holly Ave. | |
| | | | Railroad | | | | |
| AA0302A | | | Severna Park Station/ WB & A | | | Riggs Ave & Holly Ave. | |
| | AA0302A | | Railroad - Ornamental Garden | | | | Riggs Ave & Holly Ave. |
| | AA0312 | | Severnside | | 4 | | S. Winchester Rd. |
| | AA2179 | | Engineering Experiment Station | | 0 | | North Severn Area |
| | AA2263 | | 4530 Mountain Road | | 4530 | | Mountain Road |
| | AA0306 | | N.S. Cook House | | 335 | | Alameda Pkwy. |
| | AA0130 | | Robinson House/ Old Stone House | | 102 | | Old Annapolis Blvd.// Evon Court |
| | AA2269 | | 4608 Mountain Road | | 4608 | | Mountain Road |
| | AA2268 | | 4600 Mountain Road | | 4600 | | Mountain Road |
| | AA2230 | | 4602 Mountain Road House | | 4602 | | Mountain Road |
| | AA2220 | | 177 Brown's Woods Road | | 177 | | Brown's Woods Road |
| AA0337 | | | Persimmon Point/ Howards | 1273 | | Swan Dr. | |
| | AA0337 | | Residence | | 1273 | | Swan Dr. |
| | AA2466 | | Cape St. Claire Gatehouse | | 0 | | Cape St. Claire Rd. |
| AA0729 | | | Stephen Gray Farm (Weidemeyer | 990 | | Elizabeth Landing Way | |
| | AA0729 | | Farm) | | 990 | | Elizabeth Landing Way |
| | AA0924 | | Eagleston's Range | | 26 | | Windward Dr. |
| | AA0948 | | Ferry Point Farm | | 2038 | | Homewood Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2275 | | 207 Shana Road | | 207 | | Shana Road |
| | AA2229 | | Bungalow on 207th Street | | 811 | | 207th Street |
| | AA2271 | | 2009 Norman Road | | 2009 | | Norman Road |
| | AA2223 | | 324 Forest Beach Road | | 324 | | Forest Beach Road |
| | AA0132 | | Carter's Bluff/ Linsted House | | 23 | | Boone Trail |
| | AA0938 | | Eagle Hill House | | 337 | | Edgewater Rd. |
| | AA1065 | | Pasadena Church | | 5 | | Chestnut Rd. & Linden Rd. |
| AA0730 | | | Locust Lodge Thomas Farm/Greenock | 184 | | Meadow Rd. | |
| | AA0730 | | Farm | | 184 | | Meadow Rd. |
| | AA1100 | | Revell Store | | 1192 | | B & A Blvd |
| | AA0131 | | Boone Homestead | | 116 | | Maple Ave. |
| AA1046 | | | St. John the Evangelist Catholic | 611 | | Baltimore-Annapolis Boulevard | |
| | | | Church | | | | |
| AA1047 | | | Woods Memorial Presbyterian | 611 | | Baltimore-Annapolis Boulevard | |
| | AA1047 | | Church | | 611 | | Baltimore-Annapolis Boulevard |
| | AA0728 | | Dunbar House/ Armitage House | | 8426 | | Miramar Rd. |
| | AA0331 | | Tydings House | | 2121 | | Bay Front Terrace |
| | AA2273 | | 7738 Overhill Road | | 7738 | | Overhill Road |
| | AA0305 | | Spriggs-Lamb House | | 938 | | Lynch Dr. |
| | AA0307 | | Holly Run Farm | | 210 | | Windrush Farm Lane |
| | AA0952 | | Wroxeter-on-the-Severn | | 298 | | Rugby Cove Rd. |
| | AA0879 | | Edgar E. Adams Farm | | 487 | | Burns Crossing Rd. |
| | AA0170 | | Billheimer Residence | | 519 | | Burns Crossing Rd. |
| | AA2413 | | House in Gambrills Survey District | | 832 | | Maple Road |
| AA1000 | | | Queenstown School (Rosenwald | 430 | | Queenstown Rd. | |
| | | | School) aka Sunnyside School | | | | |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA1079 | | Severn Public School | | 838 | | Reece Rd. |
| | AA0885 | | Millersville Consolidated Sch. | | 1681 | | Millersville Rd. |
| | AA0806 | | M. Bannon House | | 7665 | | Race Rd. |
| | AA0744 | | Frame Cabin | | 1724 | | Sir Walter Dr. |
| | AA0832 | | Sliver-Gomez Log House | | 7251 | | Forest Avenue |
| | AA1078 | | Severn United Methodist Church | | 1215 | | Old Camp Meade Rd. |
| | AA0020 | | St. Lawrence Catholic Church | | 2821 | | Jessup Road |
| | AA1029 | | Epiphany Episcopal Church | | 1419 | | Odenton Rd |
| | AA0876 | | Church of God of Anderson (Indiana) | | 952 | | Annapolis Rd. |
| AA0176 | | | Charles W. Baldwin Hall/ Cross Roads | 1358 | | Millersville Road | |
| | AA0176 | | Church | | 1358 | | Millersville Road |
| | AA2398 | | House in Gambrills Survey District | | 747 | | Annapolis Road |
| | AA1018 | | Annapolis Rd House | | 803 | | Annapolis Road |
| | AA2420 | | House in Millersville Survey District | | 1602 | | Millersville Road |
| | AA2418 | | House in Gambrills Survey District | | 876 | | Maple Road |
| AA2464 | | | Baltimore and Drum Point RR | 0 | | Najoles Rd. | |
| | AA2464 | | Segment | | 0 | | Najoles Rd. |
| | AA2445 | | Penucci Property | | 940 | | Annapolis Road |
| | AA2103 | | Gaither House | | 399 | | Gaither Rd |
| | AA0091 | | Asa Linthicum House (Gibson Res.) | | 2869 | | 2869 Jessup Rd. (Rt. 175) |
| | AA2401 | | House in Gambrills Survey District | | 818 | | Annapolis Road |
| | AA0749 | | Colonial Revival House | | 1652 | | Millersville Rd. |
| | AA2419 | | House in Millersville Survey District | | 1693 | | Millersville Road |
| | AA2403 | | House in Gambrills Survey District | | 837 | | Annapolis Road |
| | AA2402 | | House in Gambrills Survey District | | 823 | | Annapolis Road |
| | AA1077 | | Severn Rd. Victorian House | | 1401 | | Severn Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2414 | | House in Gambrills Survey District | | 836 | | Maple Road |
| | AA1025 | | House | | 687 | | Old Waugh Chapel Rd |
| | AA2410 | | House in Gambrills Survey District | | 890 | | Claffy Avenue |
| | AA0743 | | Jones House | | 1421 | | Odenton Rd. |
| | AA2400 | | House in Gambrills Survey District | | 810 | | Annapolis Road |
| | AA0891 | | Laurel Racetrack | | 3600 | | Fort Meade Rd. |
| | AA2321 | | Laurel Racetrack Paddock | | 3600 | | Fort Meade Road |
| | AA2322 | | Laurel Racetrack Manager's Dwelling | | 3600 | | Fort Meade Road |
| | AA2244 | | Harmans Rd. Farmhouse | | 7642 | | Harmans Road |
| | AA2404 | | House in Gambrills Survey District | | 912 | | Annapolis Road |
| | AA1021 | | AA Academy House | | 1608 | | Millersville Rd. |
| | AA0889 | | John Mills Farm | | 480 | | Ski Lane |
| | AA2415 | | House in Gambrills Survey District | | 840 | | Maple Road |
| | AA2399 | | House in Gambrills Survey District | | 801 | | Annapolis Road |
| | AA0886 | | Earl Patterson House & Shed | | 382 | | Gambrills Rd. |
| | AA2406 | | House in Gambrills Survey District | | 927 | | Annapolis Road |
| | AA0979 | | Ridge Methodist Church | | 7565 | | Teague Road |
| | AA0033 | | Odenton Bank/ Citizens State Bank | | 1402 | | Odenton Road |
| | AA2421 | | House | | 937 | | Reece Road |
| | AA2408 | | House in Millersville Survey District | | 894 | | Cecil Avenue |
| | AA2407 | | House in Gambrills Survey District | | 886 | | Cecil Avenue |
| | AA2417 | | House in Gambrills Survey District | | 864 | | Maple Road |
| AA0878 | | | Rosemary S. and Benton Schaub | 788 | | Annapolis Rd. | |
| | AA0878 | | House | | 788 | | Annapolis Rd. |
| | AA2412 | | House in Gambrills Survey District | | 826 | | Maple Road |
| | AA0727 | | N.P. Watts House/ Schurr Residence | | 1401 | | Odenton Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0123 | | | Trusty Friend (aka Linden Grove- | 2839 | | Jessup Rd. | |
| | AA0123 | | Friends Choice and White Chimneys) | | 2839 | | Jessup Rd. |
| | AA1036 | | J. Warfield Farm | | 7862 | | Ridge Rd. |
| | AA0808 | | George T. Warfield House | | 7550 | | Wigley Ave. |
| | AA1093 | | Gambrills Road House | | 99 | | Gambrills Rd & Sleepy Holly |
| | AA2405 | | House in Gambrills Survey District | | 925 | | Annapolis Road |
| | AA0893 | | Mary Elizabeth Henson House | | 3585 | | 3585 Whiskey Bottom Rd. |
| | AA2409 | | House in Gambrills Survey District | | 858 | | Claffy Avenue |
| | AA2177 | | U. S. Naval Academy Dairy Farm | | | | Rt. 175 |
| AA1020 | | | AA Academy House #1 (Boarding | 1618 | | Millersville Rd. | |
| | AA1020 | | House?) | | 1618 | | Millersville Rd. |
| | AA2416 | | House in Gambrills Survey District | | 860 | | Maple Road |
| | AA1037 | | J.A. Disney Farm | | 7700 | | Ridge Rd. |
| | AA0093 | | Hoover House | | 2997 | | Jessup Rd. (Rt. 175) |
| | AA0892 | | Mt. Zion Church | | 3592 | | 3592 Whiskey Bottom Rd. |
| | AA2475 | | Charles G. Baldwin House | | 788 | | Generals Highway |
| | AA2437 | | 1179 Summerfield Road | | 1179 | | Summerfield Road |
| | AA2214 | | Feuerhardt Property | | 240 | | Najoles Rd. |
| | AA0119 | | Smith, Basil Farm and Slave Quarter | | 7650 | | Sandy Farm Rd. |
| | AA0998 | | Rupert Smith Farm | | 7631 | | Smith Ave. |
| | AA0894 | | St. Jacob's Lodge & Cemetery | | 3586 | | 3586 Whiskey Bottom Rd. |
| | AA1022 | | House | | 1594 | | Millersville Rd. |
| | AA2282 | | 7878 Brockbridge Rd | | 7878 | | Brockbridge Road |
| | AA0076 | | Meyer Log House | | 1576 | | Meyer's Station Rd. |
| | AA0883 | | Dr. Harry Baldwin Gantt House | | 1554 | | Millersville Rd. |
| | AA1094 | | New Cut Road Farm | | 8138 | | New Cut Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0110 | | | Childs Residence/ George Miller | 1003 | | Cecil Ave. | |
| | AA0110 | | House/ Millersville PO | | 1003 | | Cecil Ave. |
| | AA2105 | | Odenton Station | | 1400 | | Odenton Rd |
| AA1080 | | | Reece Rd. Cross-Gable Farmhse/ | 1020 | | Reece Road | |
| | AA1080 | | Norman W. Clark House | | 1020 | | Reece Road |
| | AA2298 | | Harmans Post Office (former) | | 1225 | | Old Dorsey Road |
| | AA0760 | | Clark/Vogel House | | 7885 | | Sellner Rd. |
| | AA2104 | | St. John's AME Zion Church | | 2993 | | Conway Road |
| AA0750 | | Boyer Tenant House | | 1972 | | Fields Road | |
| | AA0750 | | Boyer Tenant House | | 1972 | | Fields Road |
| | AA2114 | | Fields House | | 1985 | | Fields Road |
| | AA2439 | | 8464 Brock Bridge Road | | 8464 | | Brock Bridge Road |
| | AA2380 | | Tipton Airfield | | 7515 | | General Aviation Dr #1 |
| | AA0754 | | Concrete Block Bungalow | | 2822 | | Jessup Rd. |
| | AA0754 | | Concrete Block Bungalow | | 2822 | | Jessup Rd. |
| AA1019 | | | Joshua Lackland Higgins House | 1031 | | Annapolis Road | |
| | AA1019 | | (Fairview) | | 1031 | | Annapolis Road |
| | AA2411 | | House in Gambrills Survey District | | 614 | | Florida Place |
| | AA2377 | | Max Blob's Park | | 0 | | Max Blob's Park Rd. |
| | AA0094 | | Grassland Plantation | | 2710 | | Hercules Road |
| | AA0094A | | Grassland Slave Quarter | | 2710 | | Hercules Road |
| | AA1024 | | Catherine Bell Warfield House | | 2795 | | Mandy Court |
| | AA0926 | | Cecil-Valk House | | 1150 | | Goldfinch Lane |
| AA2297 | | | Western Union Tele. Co. Microwave | | | Thompson Avenue | |
| | | | Relay St. | | | | |
| AA2423 | | | Old Masonic Hall; Masonic Temple of | 1367 | | Odenton Road | |
| | | | Odenton | | | | |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA2424 | | | Bethel Methodist Episcopal Church | 433 | | Becknel Avenue | |
| | AA2424 | | South | | 433 | | Becknel Avenue |
| | AA1098 | | Ridge Road Italianate House | | 7094 | | Ridge Rd. |
| | AA0087 | | Andover/ Hamilton House | | 433 | | Andover Rd. |
| | AA1070 | | Nursery Road I-House | | 300 | | Nursery Rd. |
| AA0115 | | | Holly Run Methodist Protestant | 220 | | School Lane | |
| | AA0115 | | Church | | 220 | | School Lane |
| | AA2167 | | Flynn's Auto Parts | | 145 | | 8th Avenue |
| AA2166 | | | Glen Haven Memorial Park/ Glen | 7201 | | Governor Ritchie Highway | |
| | AA2166 | | Burnie Memorial Park | | 7201 | | Governor Ritchie Highway |
| | AA1027 | | J. Merritt House | | 6030 | | Cherry Ave. |
| | AA1096 | | Furnace Road Log House | | 1127 | | E. Furnace Road |
| | AA0933 | | John Stoll House | | 401 | | Jerome Ave |
| | AA0086 | | Howell Linthicum House (Locust Vale) | | 6308 | | Homewood Road |
| | AA0114 | | Turkey Hill/ Linthicum Homestead | | 106 | | W. Maple Rd. |
| AA0112 | | | Toll Keeper's House at Patapsco | 6819 | | Baltimore-Annapolis Boulevard | |
| | | | Bridge (Sweetsers House) | | 6819 | | |
| AA2235 | | Crain Highway "I-House" | | | 1112 or | Crain Highway, N.W. | |
| | | | Crain Highway "I-House" | | 1110 | | |
| AA2168 | | | Anne Arundel County Sanitary | 7409 | | Baltimore-Annapolis Boulevard | |
| | AA2168 | | Commision | | 7409 | | Baltimore-Annapolis Boulevard |
| | AA0120 | | William Pumphrey House | | 162 | | Olen Dr. |
| | AA1071 | | Overlook | | 400 | | Hampton Rd. |
| AA0118 | | | Benson-Hammond House/ Cedar | | | Poplar Ave. | |
| | AA0118 | | Farm | | | | Poplar Ave. |
| | AA2251 | | 1127 McHenry Drive | | 1127 | | McHenry Drive |
| | AA0089 | | Sachs Residence | | 1504 | | West Nursery Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA2301 | | 602 Old Hammonds Ferry Rd | | 602 | | Old Hammonds Ferry Road |
| | AA2065 | | Gibbs House | | 115 | | Old Farm Ct. |
| | AA2456 | | Damascus House | | 4203 | | Governor Ritchie Highway |
| | AA1073 | | Fernglen | | 13 | | Hopkins St. |
| | AA1072 | | Harmony Grove | | 14 | | Windy Hill Lane |
| AA2357 | | | First Avenue School, School #12, | 13 | | SW. 1st Avenue | |
| | AA2357 | | District 3 | | 13 | | SW. 1st Avenue |
| | AA0060 | | Dr. Thomas Brayshaw House | | 105 | | Padfield Boulevard |
| | AA2164 | | Chance Building, The | | 7347 | | Governor Ritchie Highway |
| | AA2163 | | Mewshaws Store | | 14 | | NW Greenway Avenue |
| AA2169 | | | Glen Burnie Ice Manufacturing | ? | | Baltimore-Annapolis Boulevard | |
| | AA2169 | | Company | | ? | | Baltimore-Annapolis Boulevard |
| | AA2203 | | 412-414 Broadview Boulevard Duplex | | 412-414 | | Broadview Boulevard |
| | AA2202 | | 3 Boulevard Place | | 5 | | Boulevard Place |
| | AA0077 | | Thomas Pumphrey House | | 1730 | | Pleasantville Drive |
| | AA2284 | | 313 Berlin Avenue | | 313 | | Berlin Avenue |
| | AA2247 | | 221 Key Avenue | | 221 | | Key Avenue |
| | AA1082 | | Hodges House | | 1651 | | Marley Ave. |
| | AA2250 | | 1718 Marley Avenue | | 1718 | | Marley Avenue |
| | AA2205 | | 501 Shipley Court | | 501 | | Shipley Court |
| | AA2206 | | 509 Shipley Court | | 509 | | Shipley Court |
| | AA0088 | | Luther Shipley House / Fairmount | | 539 | | Fairmount Road |
| | AA2204 | | 600 S. Camp Meade Road | | 600 | | S. Camp Meade Road |
| | AA0116 | | Sunnyfields | | 825 | | Hammonds Lane |
| | AA2302 | | Heath Avenue Farmhouse | | 507 | | Heath Avenue |
| | AA0978 | | Kelly/Hawkins House | | 1127 | | Kelly Lane |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA0113 | | | Twin Oaks/Linthicum, John Charles | 5910 | | Oak Twin Ct. | |
| | | | House | | | | |
| AA2217 | | | Lula Scott Community Center/ Shady | 6243 | | Shady Side Road | |
| | AA2217 | | Side & Churchton Rosenwald Schools | | 6243 | | Shady Side Road |
| | AA2088 | | Muddy Creek Rd Commercial Bldg | | 5528 | | Muddy Creek Road |
| | AA0296 | | Oakland Methodist Church | | 5540 | | Muddy Creek Rd. |
| | AA0067 | | J. Crandell & Co. Store & P.O. | | 5271 | | Sudley Road |
| | AA0069 | | P. Linton House | | 985 | | Marzoff Road |
| | AA2389 | | Owings House | | 6569 | | W Shadyside Road |
| | AA2388 | | Parks General Store | | 6110 | | Drum Point Road |
| | AA0227 | | Ford House (Robert Atwell House) | | 1442 | | Ford Rd. |
| | AA2086 | | 5326 Muddy Creek | | 5326 | | Muddy Creek Road |
| | AA2116 | | Frederick A. Rogers House | | 767 | | Parkers Creek Rd. |
| | AA0294 | | House on Swamp Circle Rd. | | 5546 | | Swamp Circle Rd. |
| | AA0292 | | Lancaster Hill | | 5338 | | Sudley Rd. |
| | AA0293 | | Boxwood Farm | | 5343 | | Sudley Rd. |
| | AA0299 | | Wilson T. Weems House | | 1392 | | West River Rd. |
| | AA0228 | | Norman's Retreat | | 670 | | Plantation Blvd. |
| | AA0229 | | Sudley (Cumberstone) | | 5238 | | Old Sudley Rd. |
| | AA0733 | | St. Matthew's U.M. Church | | 6234 | | Shady Side Rd. |
| | AA0065 | | Capt. Salem Avery House | | 1418 | | East-West Shady Side Rd. |
| | AA0300 | | Bay View Inn | | 1530 | | Cedarhurst Rd. |
| | AA0062 | | Shady Oaks Manor | | 846 | | Shady Oaks Rd. |
| AA0345 | | | Vale of Pleasure (AKA Alford House, | 5775 | | Pindell Rd. | |
| | AA0345 | | Gullock's Folly) | | 5775 | | Pindell Rd. |
| | AA0251 | | Armiger Residence | | 5953 | | Pindell Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0249 | | Welch House | | 5891 | | Southern Maryland Blvd. |
| | AA0776 | | Carter's U.M. Church | | 6723 | | Old Solomons Island |
| | AA2448 | | 65 Friendship Rd | | 65 | | Friendship Rd |
| | AA0071 | | St. Marks Episcopal Church | | 385 | | Deale Road |
| | AA0258 | | St. James' Church | | 5757 | | Solomon's Island Rd. |
| | AA0268 | | Holly Hill | | 333 | | Friendship Rd. |
| AA0756 | | | Tracey's Landing Tobacco Barn #2 | 5865 | | Solomons Island Rd. | |
| | AA0756 | | (Coe Barn, Lochlear Farm) | | 5865 | | Solomons Island Rd. |
| | AA0257 | | Burrages End | | 5635 | | Old Ridge Path Lane |
| | AA2449 | | 59 Sansbury Rd | | 59 | | Sansbury Rd |
| | AA0356 | | Eversfield House | | 645 | | Fairhaven Road |
| | AA0277 | | Garner Residence | | 321 | | Mt. Zion Marlboro Rd. |
| | AA0295 | | Gray Residence | | 5652 | | Nutwell-Sudley Rd. |
| | AA2446 | | Old School House | | 1425 | | Wrighton Road |
| | AA0346 | | Bristol Landing (Greenwell House) | | 1416 | | Wrighton Road |
| AA2089 | | Reverdy Nicholson House | | 6306 | | Southern Maryland Blvd (Leon Rd.) | |
| | AA2089 | | Reverdy Nicholson House | | 6306 | | Southern Maryland Blvd (Leon Rd.) |
| | AA0063 | | Griffith House | | 60 | | Friendship Rd. |
| | AA0264 | | Gowry Banks | | 265 | | Sansbury Rd |
| | AA2354 | | Agnes Ward House | | 29 | | West Friendship Road |
| | AA0269 | | Old Colony Cove Farm | | 623 | | Old Colony Cove Rd. |
| | AA0061 | | Birchheads Chance, Slave Quarter | | 1047 | | Wrighton Road |
| | AA0357 | | Nutwell House | | 330 | | Highview Rd. |
| | AA0259 | | Loch Eden | | 5736 | | Nutwell Sudley Rd. |
| | AA0250 | | White Oak | | 5893 | | Upper Pindell Rd. |
| | AA0349 | | Addison Owens House | | 5908 | | Little Rd. |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| AA2454 | | 6027 Fischer Station Rd. | | 6029 | | Fischer Station Rd | |
| | | | 6027 Fischer Station Rd. | | | | |
| AA0253 | | | Portland Manor (formerly Portland | 5951 | | Little Rd. | |
| | AA0253 | | Place) | | 5951 | | Little Rd. |
| | AA0267 | | Putnam Residence | | 2 | | Friendship Rd. |
| | AA0348 | | Catterton Residence | | 842 | | W Bay Front Rd. |
| | AA0340 | | Riggleman Residence | | 6032 | | Pindell Rd. |
| | AA0241 | | Tudor | | 5299 | | Solomons Island Rd. |
| | AA2461 | | Triangle Tobacco Warehouse | | 1325 | | Mt Zion Marlboro Rd |
| | AA0278 | | Tucker Residence | | 811 | | Mt. Zion Marlboro Rd. |
| | AA2219 | | Walke Store/ Friendship Store | | 11 | | W. Friendship Rd. |
| | AA0247 | | James Owens Farm Watts Farm | | 5682 | | Greenock Rd. |
| | AA0263 | | Wilson Tenant House | | 153 | | Sansbury Rd |
| | AA0263A | | Shingled Tenant House | | 153 | | Sansbury Rd |
| | AA0353 | | Drury-Wood House (Some Day Farm) | | 182 | | W. Bay Front Rd. |
| | AA0248 | | Shepherd House | | 5590 | | Greenock Rd. |
| | AA0265 | | Trenton Hall & Tobacco Barn | | 31 | | W. Friendship Rd. |
| AA0255 | | | Portland Manor (Allendale) (Brothers | 5503 | | Brooks-Woods Rd. | |
| | AA0255 | | Purchase) | | 5503 | | Brooks-Woods Rd. |
| | AA2460 | | 321 Sansbury Rd. | | 321 | | Sansbury Rd |
| | AA0352 | | Perrie House & dependencies | | 207 | | W. Bay Front Rd. |
| | AA2453 | | 6033 Fischer Station Rd | | 6033 | | Fischer Station Rd |
| | AA0261 | | Tocaro Farm | | 353 | | Leitch Rd. |
| | AA2422 | | Chewning Barn Complex | | 6358 | | Franklin Gibson Road |
| AA0266 | | | Friendship Parsonage/ Walke Tenant | 3 | | W. Friendship Rd. | |
| | AA0266 | | House | | 3 | | W. Friendship Rd. |
| | AA2428 | | Stationmaster's House | | 6026 | | Pindell Road |
| | County | Resource Name | | Street Number | | Street | |
|---|---|---|---|---|---|---|---|
| | Inventory | | | | | | |
| | # | | | | | | |
| | AA0355 | | Collison Residence | | 191 | | Fairhaven Rd. |
| | AA0347 | | Dorr Tenant House | | 5846 | | Greenock Rd. |
| | AA0262 | | Prout Tenant House | | 55 | | Fairhaven Rd. |
| AA0344 | | | White Oak Quarters (Quarters on | 5892 | | Upper Pindell Rd. | |
| | | | Owen's Property) | | | | |
| AA2215 | | Nutwell School | | 389 | | Deale Rd., Herrington Harbor N. Marina | |
| | | | Nutwell School | | | | |
| AA2216 | | | Sons & Daughters of Holland Society | 389 | | Deale Rd., Herrington Harbor N. Marina | |
| | AA2216 | | Lodge | | 389 | | Deale Rd., Herrington Harbor N. Marina |
| | AA0246 | | Mt. Calvary Methodist Church | | 812 | | Mount Zion Marlboro Rd. |
| | AA0354 | | Lord's Bounty, The | | 5681 | | Solomon's Island Rd. |
| | AA0252 | | Tobacco Barns | | 633 | | W. Bay Front Rd. |
| | AA2378 | | Sansbury Tobacco Barn Complex | | 262 | | Sansbury Rd. |
| AA1026 | | Reigle Farm | | 685 | | Emerald Way | |
| HISTORIC NEIGHBORHOODS and DISTRICTS | | COUNTY |
|---|---|---|
| | | INVENTORY # |
| Annapolis Roads | AA0949 | |
| Bacontown (Laurel) | AA2082 | |
| Bay Ridge | AA0950 | |
| Belts Property (Millersville) | AA2112 | |
| Circle Drive (North Linthicum) | AA2299 | |
| Cumberstone Road | AA0068 | |
| Davidsonville | AA1006 | |
| Eleanor Avenue (North Linthicum) | AA2300 | |
| Fort Smallwood | AA897 | |
| Galesville | AA2242 | |
| Georgia Avenue (Glen Burnie) | AA2161/AA2162 | |
| Gibson Island | AA0936 | |
| Glen Burnie | AA0996 | |
| Greenway Avenue (Glen Burnie) | AA2157 | |
| Harmans | AA1075 | |
| Jessup | AA0991 | |
| Linthicum Heights | AA0990 | |
| Oak Lane (Glen Burnie) | AA2159 | |
| Odenton | AA0869/AA2379 | |
| Owensville | AA0070 | |
| Severn | AA1076 | |
| Sherwood Forest | AA0941 | |
| St. Helena Island | AA0940 | |
| USNA Dairy Farm | AA2177 | |
| West Benning Road (Galesville) | AA2317 | |
| Woodwardville | AA0890 | |
Please check back for updates.
|
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CC-MAIN-2017-13
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2017-03-27T10:38:08Z
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UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS Western Division
___________________________________________________
)
)
ROSIE D., et al.,
)
)
Plaintiffs
)
)
v.
) Civil Action No. ) 01-30199-MAP
)
DEVAL PATRICK, et al.,
)
)
Defendants
)
)
____________________________________________________ )
Affidavit of Dr. Mary I. Armstrong
I, Mary I. Armstrong, hereby state as follows:
(Qualifications and Experience)
1. I am an Associate Professor in the Department of Child and Family Studies, College of Behavioral and Community Sciences, at the University of South Florida. I have been a member of the Department since 1995. The Department of Child & Family Studies (CFS) is one of eight departments and schools within the College of Behavioral & Community Sciences (BCS) at the University of South Florida. The mission of the Department is to generate hope and solutions for the complex issues confronting individuals, children, families and communities through leadership in research and evaluation, theory, policy, and practice innovation. Another commitment of the
Department is to promote accountability and improvement of services through supporting and influencing local, state, and federal policy-making bodies, funding agencies, communities and neighborhoods, and other organizations that support individuals and families.
2. I have a Ph.D. in Social Work from Memorial University of Newfoundland. For the past 35 years I have been engaged in practice, policy, and evaluation research activities regarding at-risk children and their families, with a specialized focus on children with emotional and behavioral problems and children in the child welfare system.
3. I have extensive experience in conducting evaluation, research, and policy studies for state, tribal and local governments. Currently I am the co-Principal Investigator on the evaluation of Florida's IV-E Waiver and the Principal Investigator for the evaluation of the Western and Pacific Child Welfare Implementation Center, a regional center that offers intensive consultation to states and tribal governments on major child welfare reforms. I have consulted with many states on system reforms in both children's mental health and child welfare. Currently I am consulting with the state of Washington on a child welfare reform that includes performance-based contracts and the privatization of case management services. I am also consulting with the state of Delaware on the development of a SACWIS system that supports an integrated children's services system.
(Review of the Case Review Protocol (CSR))
4. I strongly support the use of a case review protocol to assess system effectiveness. I agree with the assumption that every child and family is a microcosm of how "the
system" is serving children and families. I have used case review protocols in studies with many states, including Florida and Iowa, and have argued for their inclusion as a vital component for a total quality assurance system. I also believe that quality assurance systems need to rely on other indicators, including the use of administrative datasets (e.g., claims and eligibility files) and the use of standardized measures to assess progress on child functioning and clinical status.
5. I have reviewed the current version of the case review protocol, the Community Service Review, and have concerns regarding the scope of the review and its appropriateness as a monitoring tool in a lawsuit with a state Medicaid authority. I believe that some of the domains that remain in the current version of the CSR are the responsibility of other state agencies. Two specific areas are permanency and education. The consistency and permanency of primary caregivers domain in the CSR assesses the status of child/youth issues including having a permanent living situation, adoption, and placement stability. The areas of permanency and child safety are the responsibility of a state child welfare agency, and not of the Medicaid authority. Another CSR domain, education, includes an assessment of items such as whether the child is attending school and reading at grade level. Education is the responsibility of the state education department. It is appropriate for the CSR to assess whether a child is receiving appropriate behavioral supports related to his/her education.
6. In summary, I fully endorse the use of a case review protocol as one tool in a total quality assurance system and have recommended this use to many states and communities. I
Case 3:01-cv-30199-MAP Document 506-1 Filed 09/22/10 Page 4 of 4
question its use in a lawsuit against a Medicaid authority if its scope covers domains that are not the responsibility of a state Medicaid authority.
Signed under the pains and penalties of perjury this 22d day of September, 2010,
/s/ Mary I. Armstrong
Dr. Mary I. Armstrong
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Executive Summary
The American Jobs Project was borne of two tough problems: loss of middle-class jobs in America and congressional paralysis. It seeks to address these problems by taking advantage of one of the biggest market opportunities of our era—the advanced energy sector—and to do so at the state, not the federal, level. Policymakers who leverage the unique strategic advantages of their state to grow localized clusters of interconnected companies and institutions are poised to create quality jobs.
Ohio is well-positioned to benefit from the growing demand for advanced energy given the state's strengths in advanced manufacturing and engineering, leading universities and research facilities, and skilled labor force. Opportunities to leverage this momentum to further serve growing regional, national, and global markets offer real benefits for Ohio's economy and goodpaying jobs for the state's residents.
Extensive research and more than 100 interviews with local stakeholders and experts in Ohio have resulted in identifying two economic sectors that show particular promise: wind and additive manufacturing.
There are several barriers hindering Ohio's advanced energy industries and preventing supply chains from reaching their full potential. Ohio must address these roadblocks to grow the state's advanced energy sectors and realize economic gains. To take full advantage of these opportunities, Ohio's policymakers can enact policies to increase demand for wind power and additive manufacturing technology and to help the state's businesses grow, innovate, and outcompete regional, national, and global competitors. Indeed, with the right policies, Ohio can support as many as 26,000 total jobs annually between 2016 and 2030 in these two clusters.
This project serves as a research-based roadmap for state and local leaders who seek to develop smart policies focused on leveraging the state's resources to create skilled, good-paying jobs. Concerted effort at the state and local levels can create an environment that attracts advanced energy businesses to take root in Ohio. Employees in the advanced energy sector will spend their earnings in the local economy at grocery stores and restaurants, and those local establishments will need to hire more employees to satisfy demand. This creates a multiplier effect throughout Ohio's economy, where a single dollar spent in a community circulates through local businesses and their employees numerous times.
Summary of Policy Recommendations
The analysis presented in this report culminates in four thematic sets of recommendations for Ohio's leaders. Each set of recommendations identifies opportunities for barrier removal and future growth in the wind and additive manufacturing clusters. While the recommendations are intended to be complementary and would be powerful if adopted as a package, each can also be viewed as a stand-alone option.
Wind Energy
Encourage Foreign Direct Investment: Recruit foreign companies to Ohio in order to boost wind investments and fill gaps in the supply chain.
Amend Setback Requirements to Allow Flexibility for Turbine Size: Modify current setback requirements to meet the needs of rapidly growing turbines and small-sized distributed turbines.
Create an Ohio Wind Credit: Stimulate wind investment by establishing a wind production credit.
Create an Anchor Company Tax Credit: Offer a tax credit to companies that successfully recruit other wind-related businesses and suppliers to Ohio.
Establish a Port Retooling Strategy and Infrastructure Funds: Upgrade the Port of Cleveland for offshore wind activity through a public-private funding mechanism or a revolving loan program.
Additive Manufacturing
Encourage Foreign Direct Investment: Recruit foreign additive manufacturers to Ohio in order to boost investment and fill gaps in the supply chain.
Capitalize on Digital Manufacturing Innovation to Drive Job Creation: Promote advances in manufacturing technology by assisting companies with corresponding workforce training and technical support.
Connect Small Businesses to Research Institutions Through an Innovation Voucher Program: Encourage 3D printing adoption by allowing small businesses to use a voucher program to pay for equipment and consulting services from industry experts and local research institutions.
Establish an Additive Manufacturing Factory Retooling Program: Encourage in-state manufacturing of 3D printing machines, materials, and services by providing capital for retooling factories, purchasing equipment, and building facilities.
Minimize Manufacturing Waste: Reduce manufacturing waste in Ohio by providing incentives for waste-minimizing technologies or mandating a waste reduction target for the manufacturing sector.
Create a Manufacturing Technology Council: Form a council that unites Ohio's additive manufacturers, advises state leaders on polices, and helps the state remain competitive in national and global markets.
Innovation Ecosystem and Access to Capital
Create an Intrastate Securities Exemption for Equity Crowdfunding: Spur innovation, economic activity, and small business growth by creating an intrastate securities exemption for equity crowdfunding. The exemption will expand the pool of investors that could finance Ohio startups.
Establish an Early-Stage Capital Gains Tax Exemption: Increase the flow of venture capital and incentivize investors by establishing a capital gains tax exemption for investments in early-stage Ohio companies.
Workforce Development
Develop Regional Strategies for Allocating Training Programs and Ensure Community College Participation in Southeastern Ohio: Work with business, industry, and research institutions to align training strategies with employer needs and geographic conditions. Encourage Ohio community colleges to contribute by tailoring relevant degree programs to provide students with the necessary skills to support local manufacturers.
Expand Apprenticeship Programs to Support and Foster Career Pathways: Provide tax incentives and additional support to companies that hire and train apprentices. Further expand apprenticeship opportunities by linking work hours to school credits and certifications. Enhancing apprenticeship opportunities will help meet employer demand for trained workers and prepare Ohioans for jobs in advanced energy sectors.
Enable Dislocated Veterans to Return to Work: Leverage Ohio's well-trained veteran workforce by designing a program that allows them to continue their education and connects them with employers in need of their technical expertise.
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Call to Order:
Roll Call:
Approval of Minutes:
Comment Period:
MINUTES
REGULAR MEETING OF MAYOR AND COUNCIL OF AUGUST 5, 2013
The Regular Meeting of Mayor and Council of August 5, 2013 was called to order by Mayor David Lockhart at 7:00 p.m.
Mayor David Lockhart and Councilmembers Maudie McCord, Latresa Akins, Tommy Smith and Linda Lord.
Also present were Acting City Manager Dwayne Hobbs, Director of Finance Mike Blandenburg, Acting Director of Public Works Rusty Still, Management Analyst Angela Redding, Chief Eddie Buckholts, Deputy Director of Planning and Zoning Clarence Blalock, Major Jamie Reynolds, Director of Recreation and Leisure Services Elaine Corley, Director of Support Services Christine Terrell and City Attorney Mike Williams.
Ms. Akins made a motion to approve the following minutes, seconded by Mr. Smith.
- Work Session of Mayor and Council of July 15, 2013
- Regular Meeting of Mayor and Council of July 15, 2013
- Special Meeting of Mayor and Council of July 19, 2013
- Special Meeting of Mayor and Council of July 30, 2013
Voting for the motion was unanimous.
Pamela Lake: invited everyone to the Open House to welcome the new Director of the Library Systems on August 13 th .
Yasmin Julio – asked that more copies of the agenda be prepared for the council meetings.
Donna Barkley – stated she felt there were too many Special Called Meetings so citizens are not able to speak. She also stated it was said the former election superintendent was removed because he was too political, but you can't be political and be a voter.
Edith Porter – stated she lives on Middlebrooks Drive and asked that a ditch be cleaned out and bushes cut so she could see to back out of her driveway.
New Retail Alcohol license Texaco Food Mart:
Sandra Bagley – (Waverly Drive) asked if something could be done about cars parking on her street because it is a safety concern.
Roy Lunsford – suggested a limit be placed on the number of people who speak at the meetings since there is a time limit and he would also like a list from each council person indicating what they have done to improve their ward.
Willie Finch – spoke concerning a previous conversation where it was mentioned during the Work Session that there were 800 people on the ball field for Forest Park Community Day. He stated there were not 800 people on the field.
Michael Clinkscales - stated he was the Pastor of Rock Church of Atlanta a new church in Forest Park and welcomed everyone to his church. Ms. April Hutchins stated the church is located at 4815 Courtney Drive and they offer clothing and free food to the community through their Outreach Program.
Karen-Brandee Williams: stated she recently won a favorable judgment against the City from the US Northern District Federal Court for their discrimination and retaliation against her after asking for an ergonomic chair during council meetings. She stated this led into further retaliation and political conspiracy ousting her from office. She asked the Council for consideration to strike an ordinance that was amended by the Governing Body which prohibits her from running for office for 5 years. She asked that Ordinance be revoked so she can continue her term.
Request was made to consider a new retail alcohol license for beer only from Refresh Investments, Inc. Texaco Food Mart, 503 Forest Parkway, no exceptions noted.
Ms. Lord made a motion to approve the new retail alcohol license for Texaco Food Mart, seconded by Mr. Smith. Voting for the motion was unanimous.
Resolution Request was made to approve a Resolution by the City Council of the City Intergovernmental of Forest Park authorizing the Mayor to execute an Intergovernmental License Agreement: License Agreement with Clayton county Public Schools for the use of Kiwanis Stadium and Concession Stand to conduct football games: August 27 th , September 17 th , October 1 st , 2013; at a rate of $100 for use of field per date and $50 for use of Concession Stand per date; to provide for severability; to provide an effective date; and for other purposes.
Ms. McCord made a motion to approve the Resolution, seconded by Ms. Akins. Voting for the motion was unanimous.
Resolution - Request was made to consider a Resolution by the City Council of the City Intergovernmental of Forest Park authorizing the Mayor to execute a License Agreement License Agreement: with Community Christian School for the use of Forest Park Indoor Pool for the dates specified: October 14, 2013 through January 30, 2014; to conduct swim practices for their swim program; to provide for severability; to provide an effective date; and for other purposes.
Ms. Akins made a motion to approve the Resolution, seconded by Ms. Lord. Voting for the motion was unanimous.
Resolution Surplus Property:
Resolution Qualifying Dates:
Election Superintendent:
Request was made to consider a Resolution by the City Council of the City of Forest Park declaring certain City Property, listed on Exhibit A, to be surplus property and to provide for its proper disposal either by auction or other methods pursuant to the City's ordinances; and for other purposes.
Ms. Lord made a motion to approve the Resolution, seconded by Ms. McCord. Voting for the motion was unanimous.
Request was made to consider a Resolution of the Mayor and Council of the City of Forest Park, Georgia, designating the dates for qualifying as candidates for the 2013 Municipal Election.
Ms. Lord made a motion to approve the Resolution and set the qualifying dates and times as August 26, 2013 beginning at 8:30 a.m. and closing Friday, August 30 th at 4:30 p.m., seconded by Ms. Akins. Voting for the motion was unanimous.
Consideration of an Election Superintendent was discussed. Ms. McCord stated Ms. Charity Woods has been the only person that has shown interest in the position as Election Superintendent. She stated she lives outside the City and has no political ties in the City and she is enrolled in the upcoming classes.
Ms. McCord made a motion to appoint Ms. Charity Woods as Election Superintendent, seconded by Mr. Smith.
Ms. Lord suggested a meeting to talk to her before they vote on it.
Adjournment:
Mayor Lockhart asked what the pay would be for this position. Mr. Blandenburg stated at the last election, the superintendent was paid $25 per hour.
Ms. Lord made a motion to amend the previous motion to call a meeting and talk to Ms. Woods prior to voting for her as Election Superintendent. The amended motion died for lack of a second.
Voting for the original motion were Ms. McCord, Ms. Akins and Mr. Smith. Ms. Lord abstained. The motion carried.
Mr. Smith made a motion to adjourn, seconded by Ms. McCord. Voting for the motion was unanimous.
The meeting adjourned at 7:40 p.m.
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Mind's Eye
Art Across the Spectrum
K irtenraw Bandiloo, 20, is the youngest of three children. He resides in Malaysia, a country which has little support for families of children on the autism spectrum. Kirtenraw attended public school with the help of his two sisters. He struggled in school because of difficulties with language and communication, and dropped out at age 16.
Kirtenraw has always had a special ability in art. He started drawing with pencil sketches when he was only six years old. In 2007, his dad took him to art lessons in Penang. That became a life-altering event as Kirtenraw discovered that he enjoyed the process of painting with poster colors. In 2010, he started painting with oils. Each painting takes days to weeks to complete. He now has an impressive collection of over 100 big, vivid, and powerful paintings.
Kirtenraw's talent mystifies his parents as they have no art background. Kirtenraw feels compelled to create each day using colors in unique ways. His parents have no idea where he gets the ideas for what he paints. He is influenced by no other artists. His creations come from his imagination, and he completely loses himself in his art. Kirtenraw's first exhibition was in 2015 at a gallery in Penang.
Kirtenraw's goal is to become a successful artist. He wants to earn enough money that he can expand his family's home and buy a big van to transport all his friends. He looks forward to having parties and displaying his art.
We are certain Kirtenraw is going to make his dreams come true.
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BYLAWS
OF
AMERICAN SOCIETY OF PEDIATRIC OTOLARYNGOLOGY, INC.
Table of Contents
BYLAWS
OF
AMERICAN SOCIETY OF PEDIATRIC OTOLARYNGOLOGY, INC.
ARTICLE I NAME AND OFFICES
Section 1. Name. This Corporation shall be known as the American Society of Pediatric Otolaryngology, Inc. ("ASPO") and hereafter shall be referred to either as the "Corporation" or the "Society." The principal office of the Corporation in the State of Missouri shall be located at 211 N. Broadway, Suite 3600, St. Louis, Missouri 63102. The Corporation may have such other offices, either within or without the State of Missouri, as the Board of Directors may designate or as the business of the Corporation may require from time to time.
Section 2. Office. The registered office of the Corporation required by the Missouri Nonprofit Corporation Act to be maintained in the State of Missouri may be, but need not be, identical with the principal office in the State of Missouri, and the address of the registered office may be changed from time to time by the Board of Directors.
ARTICLE II CHARITABLE PURPOSES
Section 1. Purpose. The purpose or purposes for which this Corporation is organized shall be to use its funds and property exclusively for carrying out the following charitable and educational activities:
To advance the quality of children's otolaryngologic care:
(a) By developing and encouraging investigative knowledge of pediatric otolaryngologists by:
(1) Encouraging and supporting individual and cooperative clinical research; and
(2) Promoting and supporting basic research in children's otolaryngologic disorders;
(b) By establishing educational standards for the training and evaluation of otolaryngologists who are concerned with the care of children by:
(1) Promoting the training of pediatric otolaryngologists by establishing educational guidelines and goals, and assessing achievements thereof;
(2) Promoting training of pediatric otolaryngology in established residency and fellowship programs and by establishing guidelines and goals and assessing achievements thereof;
(3) Promoting training of various other related health professions; and
(4) Sponsoring regular postgraduate meetings and seminars for the dissemination of knowledge in pediatric otolaryngology;
(c) By establishing standards of professional practice in pediatric otolaryngology;
(d) By providing information to all individuals, agencies, public or private, concerning the otolaryngological care of children including scientific, clinical, social and economic issues;
(e) By providing a referral source for all individuals, agencies, public or private seeking information concerning the otolaryngological care of children; and
(f) By doing such other things as are incidental or appropriate in accomplishing the foregoing purposes.
ARTICLE III MEMBERSHIP
Section 1. Categories of Members. There shall be the following categories of membership in this Society. Members of each category shall be referred to as "Member":
(a) Charter Member
(b) Member
(c) Associate Member
(d) Member Emeritus
(e) International Member
(f) Honorary Member
(g) Fellow Member
Section 2. License Requirement. A Charter Member, Member, Fellow Member, and an Associate Member must be licensed to practice medicine and surgery in one or more states of the United States or in Canada.
Section 3. Charter Member. The list of Charter Members shall be established and closed at the organizational meeting.
Section 4. Member. A Member shall mean a Diplomat of the American Board of Otolaryngology or a Fellow of the Royal College of Surgeons (Canada) whose "major professional activities" are devoted to teaching, research, or patient care in the field of pediatric otolaryngology as defined by the purpose of the Society as set forth in Article II hereof and, with the exception of Fellow Members and International Members, who satisfies the eligibility requirements as set forth in Section 5 hereafter. The Board of Directors shall determine who is eligible for membership in the society but "membership" shall be determined by a vote of the Members entitled to vote as set forth in these Bylaws. For purposes of this section, 'major professional activities' shall mean a medical and and/or surgical practice predominantly involving management of a wide range of otolaryngologic disorders in neonates, infants, and children less than eighteen years of age. The Membership Committee shall provide and disseminate to applicants the following criteria that are used to evaluate suitability of applicants for Society membership:
Section 5. Eligibility for Membership (all categories other than Fellow Member).To be eligible to be a member of the American Society of Pediatric Otolaryngology, a candidate must:
(a) Have attended at least one ASPO meeting in the 2 years prior to application;
(b) Be board certified by the American Board of Otolaryngology or the Royal College of Physicians and Surgeons of Canada. Applicants are encouraged but not required to be a member of the American Academy of Otolaryngology-Head Neck Surgery or the Canadian Otolaryngology Society;
(c) Be recognized and identified by peers as a pediatric otolaryngologist. A substantial majority (80%) of the applicant's medical and surgical practice must involve pediatric patients. The individual's practice setting must be appropriate for specialized pediatric care;
(d) Shall have successfully completed a fellowship program in pediatric otolaryngology (Not required for International Members);
(e) Demonstrated professional activities in the field of pediatric otolaryngology for a minimum of two years following completion of a full year of pediatric otolaryngology fellowship training and prior to submitting the application;
(f) Authored a minimum of two (2) peer reviewed publications in the field of pediatric otolaryngology published in major journals or editor-reviewed textbooks; and
(g) Furnished letters of recommendation from two (2) active ASPO members.
Section 6. Dues. A Member shall be required to pay dues as specified by the Board of Directors. Members who have not paid their annual dues by the opening date of the annual meeting will be assessed a fifty dollar ($50.00) late fee. Members who fail to timely pay their dues for two consecutive years shall be dropped from the membership roll. To be re-instated, a Member must pay his/her "past due" account plus late fees.
A Member in good standing who has satisfied the requirements for same as set forth herein shall be eligible to vote, to serve on committees, and to hold office.
Section 7. Associate Member. An Associate Member shall mean an otolaryngologist who practices in the United States or Canada who otherwise fulfills the requirements for admission to the Society as a Member, as defined in Section 5, but who is not a Diplomat of the American Board of Otolaryngology or a Fellow of the Royal College of Surgeons (Canada). An Associate Member shall be required to pay dues, shall be eligible to vote, shall be eligible to serve on committees but shall not be eligible to hold office. An Associate Member desiring to change status to Member must initiate a new membership application.
Section 8. Member Emeritus. A Member shall have the option of becoming a Member Emeritus upon reaching the age of sixty-five (65) years, or upon retiring from the active practice of pediatric otolaryngology. A Member Emeritus shall not be required to pay dues, shall not be eligible to vote, and shall not be eligible to hold office.
Section 9. International Member. An International Member shall mean an otolaryngologist who practices outside of the United States or Canada who otherwise fulfills the requirements for admission to the Society as a Member, as defined in Section 5 but who is not a Diplomat of the American Board of Otolaryngology or a Fellow of the Royal College of Surgeons (Canada). An International Member shall not be required to pay dues, shall not be eligible to vote, shall not be eligible to hold office but is eligible to serve on committees.
International Members shall:
(a) have successfully completed a fellowship program in pediatric otolaryngology,
OR
(b) have historically exhibited a special expertise in the field of pediatric otolaryngology as determined by:
i The number of years in practice in pediatric otolaryngology,
ii. Contributions to the literature in pediatric otolaryngology,
iii. Academic appointments, e.g., a children's hospital faculty appointment in pediatric otolaryngology,
iv. Recognized past or present teaching contributions in the field of pediatric otolaryngology.
Section 10. Honorary Member. An individual of outstanding caliber who has made a major contribution to pediatric otolaryngology who is not eligible for another category of membership, may be awarded the status of Honorary Member by the Board of Directors as provided in these Bylaws. An Honorary Member shall not be required to pay dues, shall not be eligible to vote, and shall not be eligible to hold office.
Section 11. Fellow Member. An enrollee of a pediatric otolaryngology fellowship or recent graduate of a fellowship (completed less than 3 years from the time of application) who is board-eligible or board-certified by the American Board of Otolaryngology or the Royal College of Physicians and Surgeons of Canada. A Fellow Member shall not be required to pay dues,
4
shall not be able to vote, and shall not be eligible to serve on committees or to hold office. The maximum duration of Fellow Membership shall be three years.
Section 12. Nomination for Membership. Nomination for membership in the Society shall require the sponsorship of two voting Members in good standing and the consent of the nominee. A candidate for membership in all categories shall be voted upon by all voting Members present at the Annual Business Meeting following the favorable vote of five (5) Directors to recommend an individual for membership. Membership approval shall require a 75% majority vote of the voting Members present at the Annual Business Meeting, including written proxies timely delivered as set forth in these Bylaws.
Section 13. Meeting of Membership. There shall be an Annual Meeting of the Members, the time and place of which shall be established by majority vote of the Board of Directors;
(b) Any Member in good standing may propose, and is encouraged to do so, a meeting place to the Board of Directors for future meetings, preferably three (3) years in advance for consideration by the Board of Directors;
(c) These shall be a Scientific Session incorporated into the Annual Meeting and;
(d) There shall be a Business Meeting incorporated into the Annual Meeting which will be open only to voting Members in good standing, and at which official business shall be transacted, including (i) the elections of officers and (ii) the elections, of the Members-At-Large of the Board of Directors (e.g., to fill any vacancy of a MemberAt-Large or upon expiration of his or her three year term). The officers and MembersAt-Large shall be elected by a majority vote of those voting Members attending the Annual Business Meeting. There shall be a slate with an option for write-in candidates.
Section 14. Guests at the Annual Meeting. The Scientific Session of the Annual Meeting shall be open to all interested physicians or other professionals who register for the meeting;
(b) A registration fee may be required at the discretion of the Board of Directors on the advice of the event coordinator; and
(c) Special meetings of the membership may be called at any time by a majority of the Board of Directors provided notice is given to the voting Members of the Society sixty days prior to the date of the meeting.
Section 15. Quorum. The voting Members present shall constitute a quorum for business at the Annual Business Meeting and other official committee meetings. Unless these Bylaws provide otherwise, a fifty-one percent (51%) vote of the Members at which a quorum is in attendance (including qualified proxies as set forth hereafter) shall constitute the act of the Membership.
(b) Proxy. Any voting Member of the Corporation may deliver a proxy to the Secretary of the Corporation provided such proxy:
(1) is in writing;
(2) identifies the person by name to whom such proxy is given;
(3) is received by the Secretary of the Corporation during the period beginning on the date the meeting agenda is distributed to the Members and ending on the date prior to the date of the meeting to which the proxy applies;
(4) identifies by specific date the date of the meeting to which it applies; and
(5) is signed by the voting Member who has given his/her proxy.
A proxy which satisfies all five (5) requirements shall be a qualified proxy and shall be included in determining the number of Members which constitutes a quorum.
ARTICLE IV BOARD OF DIRECTORS
Section 1. Powers and Duties. The business and affairs of this Corporation shall be managed by a Board of Directors. The Board of Directors shall have all of the powers permitted under the Missouri Nonprofit Corporation Act and these Bylaws. Such powers shall include by way of example but not by way of limitation:
(a) It shall generally oversee the business and affairs of the Corporation and make certain that the spirit and letter of the Articles of Incorporation and of the Bylaws are satisfied and carried out;
(b) It shall consider all applications for membership presented by the Membership Committee. Favorable and dissenting opinions on nominations under consideration shall be heard. A list of nominees for membership approved by the Board of Directors shall be given to the Secretary for distribution to the general membership ten (10) days prior to the Annual Meeting;
(c) It shall approve the meeting place of the Annual Meeting at least three (3) years in advance;
(d) It shall work with the Research Committee on any intellectual property right issues related to the Society or vested in the Society;
(e) It shall review the reports prepared by each Committee Chair, either in writing, in person or both, and vote upon all pertinent action items, and
(f) It shall meet at least once a year, or such other times, as is appropriate, sufficiently prior to the Annual Meeting to allow time for proper action.
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Section 2. Membership of Board of Directors. There shall be nine members of the Board of Directors (the "Directors"). The Members shall elect the officers as set forth in greater detail in Article VII and those officers shall be Directors ex officio. Accordingly, the Directors shall consist of the following officers of the Corporation: President, the President-Elect, the Immediate Past-President, the Secretary, the Treasurer, the Past-Past President, and three Directors from among the Members, each of whom is referred to as a Member-At-Large Director. Each Member-At-Large Director shall be elected for a term of three years and cannot be re-elected as a Member-At-Large Director for a consecutive three-year term. A Member-AtLarge Director may be elected to other offices within the Society provided that the term of elected office begins after conclusion of a full three-year term as a Member-At-Large Director.
Additionally, a Pediatric Otolaryngology Fellow (non-voting attendee) is invited to all Board meetings to represent the interests of current and future pediatric otolaryngology fellows. The Fellow Representative may participate in committees at the direction of the president and will be selected for a two-year term by the Society President.
All Committee Chairs are invited to attend the Annual Meeting of the Board of Directors for the purpose of presenting their committee reports, however, only the members of the Board of Directors as defined above are eligible to vote on matters to come before the Board.
Section 3. Chairperson of the Board of Directors. The President of the Society shall be the Chairperson of the Board of Directors.
Section 4. Resignations. Any Director may resign at any time by giving written notice to the Chairperson of the Board of Directors, the President, or the Secretary of the Corporation and such resignation shall be effective as of the date specified in such written notice.
Section 5. Removal. Directors may be removed for good cause at a special meeting of the Board of Directors called expressly for such purpose in the manner and subject to the limitations provided by the Missouri Not For Profit Corporation Act. A two-thirds (2/3) vote of the full Board of Directors (determined without regard to the Director under consideration) shall be required for removal.
Section 6. Vacancies. Vacancies of the Board of Directors may be filled by a majority of the remaining Directors until the next Annual Meeting, when a special election will be held.
Section 7. Executive Committee. The Board of Directors may, by resolution adopted by the majority of the Directors, designate an Executive Committee consisting of the President, the President-elect, the immediate Past-President, the Secretary and the Treasurer, which committee shall have and exercise all of the authority of the Board of Directors in the management of the Corporation with respect to day to day decisions of the Corporation. The act of a majority of the Members of the Executive Committee shall be the act of the Executive Committee.
Section 8. Compensation. No Director shall be entitled to compensation for his/her services to the Corporation as such, nor for his/her attendance at any meeting of the Board of Directors or any committee thereof. Nothing herein shall be construed to preclude any Director from serving the Corporation in any other capacity and from receiving reasonable compensation and the reimbursement of expenses for service in such other capacity. Reimbursement for secretarial and administrative support shall be granted to both the Secretary and Treasurer to facilitate the performance of their duties.
ARTICLE V MEETINGS OF THE BOARD OF DIRECTORS
Section 1. Conduct of Meetings. The Chairperson, and in his/her absence, any Director chosen by the Directors present, shall call a meeting of the Board of Directors to order and shall act as Chairperson at that meeting. The presiding officer may appoint any Director or other person present to act as Secretary of that meeting.
Section 2. Quorum. Except as otherwise provided by law or by these Bylaws, a majority of the Directors shall constitute a quorum for the transaction of business of the Board of Directors, but a majority of Directors present (though less than such a quorum) may adjourn the meeting from time to time without further notice.
Section 3. Manner of Acting. The affirmative vote of four (4) Directors at which a quorum is in attendance shall be the act of the Board of Directors unless the act of a greater number is required by law, or by the Articles of Incorporation, or the Bylaws. In the event of a tie vote, the Chairperson shall be entitled to cast a second vote.
Section 4. Proxies. Any Director may, by a written proxy filed with the Secretary of the Corporation, authorize another person or persons to vote on behalf of such Director at any meeting of the Board of Directors, or to express consent or dissent on behalf of such Director to action taken without a meeting.
Section 5. Annual Meetings. An Annual Meeting of the Board of Directors shall be held with notice during the month of May, or such other time as designated by the Board. The Board of Directors may provide, by resolution, the time and place, for the holding of additional regular meetings without other notice than such resolution.
Section 6. Special Meetings. Special Meetings of the Board of Directors may be called by or at the request of the President, President-Elect, or any two Directors.
Section 7. Meetings by Conference Telephone. Unless otherwise restricted by law, by the Articles of Incorporation, or by these Bylaws, the Directors or any committee designated by the Board of Directors may participate in a meeting of the Board of Directors or such Committee by means of conference telephone call or any similar communications equipment whereby all persons participating in the meeting can hear each other at the same time, and participation in a meeting in this manner shall constitute presence in person at the meeting.
Section 8. Notice of Meetings. Notice of any meeting shall be given at least ten (10) days prior thereto by written notice delivered personally, mailed or electronically mailed to each Director at his/her business address. If mailed, such notice shall be deemed to be delivered when deposited in the United States mail, so addressed, with postage thereon prepaid. If delivered by electronic mail, such notice shall be deemed to be delivered when transmitted. The attendance of a Director at a meeting in person or by proxy shall constitute a waiver of notice of such meeting, except where a Director attends a meeting for the express purpose of objecting to a transaction of any business because the meeting is not lawfully called or convened. Neither the business to be transacted, nor the purpose of any regular meeting of the Board of Directors need be specified in the notice or waiver of notice of such meeting. The Notice of a special meeting shall include a description of the matter(s) to come before such meeting. Upon election of the Board of Directors, each Director shall deliver written notice of his/her business address to the Secretary of the Corporation.
Section 9. Action by Directors Without a Meeting. Any action required or permitted to be taken by the Board of Directors, or by any committee of the Board of Directors, may be taken without a meeting if a written consent setting forth the action so taken, is approved by all of the members of the Board of Directors or of such committee, as the case may be. Such written consents shall be filed with the minutes of the meetings of the Board of Directors or of such committee. Such written consents shall have the same force and effect as a unanimous vote at a meeting duly held, and may be stated as such in any certificate or document filed under the Missouri Not For Profit Corporation Act.
Section 10. Presumption of Assent. A Director of the Corporation who is present at a meeting of the Board of Directors at which action on any corporate matter is taken shall be conclusively presumed to have assented to the action taken unless his dissent shall be entered in the minutes of the meeting or unless he/she shall file his/her written dissent to such action with the person acting as Secretary of the meeting before the adjournment thereof or shall forward such dissent by certified mail to the Secretary of the Corporation immediately after and on the same day as the adjournment of the meeting. Such right to dissent shall not apply to a Director who voted in favor of such action.
ARTICLE VI COMMITTEES
Section 1. Committees of the Board of Directors.
(a) Committees Generally. Committees and subcommittees shall be standing or special. The standing Committees shall be the following: Program, Membership, Nominating, Audit, Finance, Research, Long Range/Strategic Planning, Information Technology, Fellowship, Bylaws, Education, Development, and Quality and Safety. Special Committees may be created or terminated at any time by resolution of the Board of Directors. The chairperson of each Committee ("Committee Chairperson") shall be primarily responsible for implementing the action of that Committee and shall serve a two (2) year term. As a general rule, the President shall select each Committee's Chairperson from among Committee members who have previously served at least a full three years on such Committee unless otherwise specifically identified hereinafter. Unless specified otherwise herein, each Committee shall be composed of 7 individuals: 6 committee members serving staggered 3-year terms in addition to the appointed Chairperson and will meet from time to time as the Committee Chairperson deems appropriate. The Committee Chairperson shall prepare semiannual reports and send such annual report to the Secretary of the Society one month in advance of each Board Meeting.
(b) Program Committee. The Program Committee shall be composed of a Committee Chairperson and six additional members, all of whom are appointed by the President. The Committee Chairperson will serve for a one-year term, and shall have served a prior three-year term on that Committee. The other members of the Program Committee shall be appointed for a single three-year term, with two new members being appointed yearly. The duties and responsibilities of the Program Committee shall include:
(1) Responsibility for the Scientific Session and all related programs and exhibits of the Society at its Annual Meeting and at other meetings in which the Society is participating;
(2) Working with the event coordinator to insure proper coordination of the scientific and other programs of the Annual Meeting;
(3) Review of free or invited papers and posters in consultation with the Board of Directors to determine their appropriateness for presentation at an Annual Meeting; and
(4) Such additional duties as the Committee Chairperson may prescribe.
(c) Membership Committee. The Membership Committee shall be composed of six members, all of whom are appointed by the President. The Committee Chairperson will be appointed for a two-year term. The other Members shall be appointed for a threeyear term. The duties and responsibilities of the Membership Committee shall include:
(1) To maintain and distribute application forms for membership in the Society;
(2) To establish guidelines for membership, subject to the approval of the Board of Directors and the membership of the Society;
(3) To annually review all prospective candidates for membership in the Society and present all recommendations regarding membership to the Board of Directors thirty (30) days prior to the Annual Meeting; and
(4) Such additional duties as the Committee Chairperson may prescribe.
(d) Nominating Committee. The Nominating Committee shall be composed of five members, four members of which shall be elected by the voting Members of the Society and the fifth member of which shall be the Immediate Past-President of the Society. Each Nominating Committee member shall serve a one-year term. The duties and responsibilities of the Nominating Committee shall include:
(1) To prepare a slate of officers, including the President-Elect and when required, the Secretary and the Treasurer (one name for each position) preferably in time for the fall meeting of the Board of Directors to facilitate a smooth transition; the slate of officers prepared by the Nominating Committee shall not include the name of any then member of the Nominating Committee;
(2) To prepare a slate of Directors (if required), including the Members-At-Large (one name for each position) and to submit such slate to the Board of Directors at least sixty (60) days prior to the Annual Meeting; and
(3) Such additional duties as the Committee Chairperson may prescribe.
(e) Fellowship Committee. The Fellowship Committee shall be composed of six members, all of whom are appointed by the President. The Committee Chairperson will serve for a two-year term. The other Members shall serve a three-year term. At least three members of the Fellowship Committee shall be active faculty supervisors within a fellowship training program. The duties and responsibilities of the Fellowship Committee shall include:
(1) To review standards for fellowship training in pediatric otolaryngology and assist and make recommendations to agents who evaluate fellowship training programs;
(2) To provide a written report of the Committee's actions and recommendations to the Chairperson of the Board of Directors and Secretary of the Society not less than four weeks prior to the Annual Meeting of the Board of Directors;
(3) To work toward continuous improvement of the fellowship candidate interview process to include coordination of interview dates;
(4) To facilitate interactions between the San Francisco Match Program and ASPO and fellowship programs in terms of registration of programs, coordinating the match date, and related matters;
(5) To assist interested programs in obtaining ACGME accreditation; and
(6) Such additional duties as the Committee Chairperson may prescribe.
(f) Audit Committee. The Audit Committee shall be composed of three members all of whom are appointed by the President. A Committee Chairperson shall serve in this capacity for two years. The other Members shall serve a three-year term. The duties and responsibilities of the Audit Committee shall include:
(1) To review the Treasurer's reports to the Members to insure appropriate disclosure;
(2) To appoint an independent auditor to perform an annual financial review. An audit should take place every four (4) years, at the completion of each Treasurer's term of office;
(3) To review and approve the scope of the work of any and all independent and internal auditors;
(4) To review with auditors and management the effectiveness of internal controls;
(5) To review and approve the fees of the independent auditors;
(6) To maintain direct communication with independent auditors;
(7) To review audit reports and management actions taken in response to audit reports;
(8) To report regularly on the activities of the Audit Committee to the Board of Directors and to the membership;
(9) To annually file or cause to be filed all federal and state tax forms, including by way of example but not by way of limitation, IRS Form 990; and
(10) Such additional duties as the Committee Chairperson may prescribe.
(g) Finance Committee. The Finance Committee shall consist of seven members, six of which shall be appointed by the President of the Society and the seventh member of which shall be the Immediate Past-President of the Society. Five of the appointed members shall each serve three-year terms. The Immediate Past-President will serve for a one-year term. The Committee Chairperson shall be selected by the President and shall serve in this capacity for two years. The duties and responsibilities of the Finance Committee shall include:
(1) To review financing requirements and strategy for the Society, particularly the Education and Endowment Fund, in consultation with the Treasurer;
(2) To review expenditures and fiscal policy and recommend action to the Board of Directors;
(3) To review financial strategies and results of the Society;
(4) To review long-term financial strategies with the Board of Directors at least annually;
(5) To formulate an investment policy; and
(6) Such additional duties as the Committee Chairperson may prescribe.
(h) Research Committee. The Research Committee shall consist of six members, all of whom are appointed by the President. The Committee Chairperson will be appointed by the President for a two (2) year term after having previously served a three-year Research Committee term. The other Members shall serve a three-year term. The duties and responsibilities of the Research Committee shall include:
(1) Soliciting and reviewing grant proposals submitted to the Society for funding, and making recommendations to the Board of Directors for which proposals to fund;
(2) Working with the Centralized Otolaryngology Research Effort (CORE) committee of the American Academy of Otolaryngology-Head and Neck Surgery to solicit and review and fund grant proposals pertaining to pediatric otolaryngology;
(3) Formulate, update, disseminate and carry out policies pertaining to surveys administered to the ASPO membership for research purposes;
(4) Working with the Board of Directors on any intellectual property right issues related to the Society; and
(5) Such other duties as the Committee Chairperson may prescribe.
(i) Development Committee.The Development Committee shall be composed of six members, all of whom are appointed by the President. The Committee Chairperson shall be appointed for a two year term. The remaining members of the Development Committee shall be appointed for a three-year term. The duties and responsibilities of the Development Committee shall include:
(1) Raising funds for the Society, for the purposes of sustaining research and educational support and such other duties as the Board of Directors may prescribe; overseeing the planning and coordination of fund-raising efforts
(2) Working with the President to implement and create supporting materials for the annual President's fund-raising appeal to the membership
(3) Assessing the need for fund-raising events and capital campaigns; and
(4) Such other duties as the Committee Chairperson may prescribe.
(j) Information Technology Committee. The Information Technology Committee shall be composed of six members, all of whom are appointed by the President. The Committee Chairperson shall serve a two-year term after having previously served a three-year term on this Committee. The other Members shall serve a three-year term. The duties and responsibilities of the Information Technology Committee shall include:
(1) Interacting with the webmaster for the Society;
(2) Making recommendations about new technology from which the Society would benefit;
(3) To determine appropriate distribution of the podium presentations at annual meetings through such avenues as audio digest, video tapes, computer disks for such purposes as continuing medical education; and
(4) Such other duties as the Committee Chairperson may prescribe.
(k) Long-Range/Strategic Planning Committee. The Long-Range Strategic Planning Committee shall be composed of six members all of whom are appointed by the President. The Committee Chairperson shall serve a two-year term after having previously served a three-year term on this Committee. The other Members shall serve a three-year term. The duties and responsibilities of the Long-Range Strategic Planning Committee include:
(1) Implementing new programs as needed;
(2) Reviewing and keeping up to date the charge and mission statement of the Society;
(3) Working with the Society's event coordinator on site selection and planning for future meetings;
(4) Working with other Committees as needed to establish future needs and direction of the Society; and
(5) Foster leadership at all levels within the Society.
(l) Bylaws Committee. The Bylaws Committee shall be composed of the following four members: (a) Secretary, (b) Immediate Past President, (c) Past Past President, and (d) Past Past Past President. The Past Past President shall serve as Chairperson. The duties and responsibilities of the Bylaws Committee are to keep the bylaws current with the activities and practices of the Society.
(m) Education Committee. The Education Committee shall be composed of six members all of whom are appointed by the President. The Committee Chairperson shall serve a two-year term after having previously served a three-year term on this Committee. The other Members shall serve a three-year term. The duties and responsibilities of the Education Committee include:
(1) The primary responsibility is to develop and maintain a curriculum for fellowships in pediatric otolaryngology. A secondary responsibility is to develop and maintain pediatric otolaryngology curricula and materials for the education of otolaryngology residents, non-otolaryngology residents, practicing otolaryngologists, and medical students;
(2) Assist in the identification of resources for curriculum support; and
(3) Assist in the development of material to be used in the pediatric otolaryngology portion of the American Board of Otolaryngology Maintenance of Certification (MOC) and the Pediatric Otolaryngology Sub-certification examinations.
(n) ASPO Representation to Committees of the American Academy of Otolaryngology – Head and Neck Surgery (AAO-HNS) and other Societies.
The President shall be responsible for appointing an ASPO representative(s) to committees of the AAO-HNS and other Societies upon request. These include but are not limited to:
(1) Staggered renewable three-year terms for a Governor, Public Relations Representative and AAO-HNS Liaison Representative to the AAOHNS Board of Governors;
(2) A renewable three year term for a representative to the AAO-HNS Specialty Society Advisory Council to be filled by a member who serves or has served the Society in the capacity of President, Secretary or Treasurer; and
(3) The names of two potential representatives to serve a two year term on the AAO-HNS Pediatric Otolaryngology Committee. Additionally, the ASPO President may be requested to forward the names of candidates to serve as Chairperson of the AAO-HNS Pediatric Otolaryngology committee.
(4) Appoint one representative to serve a 2-year term on the AAOHNS Guideline Development Task Force.
(o) Quality and Safety Committee.
The Quality and Safety Committee shall be composed of six members, all of whom are appointed by the President. The members shall be individuals who are active on a hospital or national level with patient safety and quality improvement initiatives. The Committee Chairperson shall serve a two-year term after having previously served a three-year term on this Committee. The other Members shall serve a three-year term. The duties and responsibilities of the Quality and Safety Committee shall include:
(1) To review existing national patient safety and quality improvement initiatives to ascertain the impact to pediatric otolaryngologists and discern the role of the American Society of Pediatric Otolaryngology in such initiatives (ie helping to decide if ASPO should participate in specific initiatives)
(2) To attempt to contribute to the scientific literature of patient safety and quality improvement with regards to the scope of practice of pediatric otolaryngology.
(3) To consider member participation in patient safety and quality improvement initiatives that have the potential to impact scope of practice of ASPO members; and
(4) Such additional duties as the Committee Chairperson may prescribe.
(p) Newsletter Editor:
The Newsletter Editor shall be appointed by the ASPO President for a two (2) year term, renewable once. The Editor will oversee the periodic publication of a Society Newsletter to keep the membership informed of news and events. The Editor will attend the Board Meetings as a non-voting member and will present reports to the Board.
ARTICLE VII: OFFICERS
Section 1. Number. The officers shall include the President, President-Elect, Secretary, and Treasurer. Nominations for these offices shall originate from the Nominating Committee and the floor.
Section 2. Election of Officers. The officers shall be elected by the voting Members as described in Article III, of these Bylaws.
Section 3. Term of Office. Each officer shall hold office for the term designated below:
President
1 year
President-Elect
1 year
Secretary
4 years
Treasurer
4 years
or until his/her death, or until he/she shall resign or shall have been removed in the manner hereinafter provided. No officer shall be eligible to serve more than one term but shall be eligible for re-election one year after the conclusion of his/her last term.
Section 4. Removal. Any officer may be removed by the Board of Directors whenever in its judgment the best interest of the Corporation will be served thereby, but such removal shall be without prejudice to the contract rights, if any, of the person so removed. Election or appointment of an officer shall not of itself create contract rights.
Section 5. Resignations. Any officer may resign at any time by giving written notice to the Board of Directors, the President or the Secretary of the Corporation.
Section 6. Vacancies. A vacancy in any office because of death, incapacity, resignation, removal, disqualification or otherwise, may be filled by a vote of a majority of the Directors until the next Annual Meeting, when a special election will be held.
Section 7. President. The President shall be the principal Executive Officer of the Society and Chairman of the Board of Directors and shall in general, supervise and control all of the business and affairs of the Corporation. His/her duties and responsibilities shall include:
(1) Presiding at the Annual Meeting and at all meetings of the Board of Directors and Past Presidents;
(2) Organizing and chairing the semi-annual meetings of the Pediatric Otolaryngology Pan-Leadership group in conjunction with the ASPO representative to the AAO-HNS Specialty Society Advisory Council and the other members of the Executive committee;
(3) Enforcing all rules and regulations of the Society;
(4) Executing all official documents, contracts, leases, etc.
(5) Making appropriate committee appointments to the standing committees of the Society and establishing ad hoc committees as he/she sees fit;
(6) Making appropriate appointments on behalf of the Society to fill ASPO-designated seats on committees of the AAO-HNS and other societies;
(7) He/she shall be an ex officio member of all committees as he/she sees fit; and
(8) He/she shall be responsible to the Board of Directors for all scientific programs and exhibits of the organization.
Section 8. President-Elect. In the absence of the President, whether due to resignation, incapacity or any other cause, or in the event of the President's death, inability or refusal to act, the President-Elect shall perform the duties of the President, and when so acting, shall have all the powers of and be subject to all the restrictions upon the President. The President-Elect shall exercise such powers only so long as the President remains absent or incapacitated, or until the Board of Directors elects a new President. The President-Elect shall perform such other duties as from time to time may be assigned to him/her by the President or by the Board of Directors and shall be the successor to the President at the expiration of the President's term.
Section 9. Secretary. The Secretary shall have the following duties and responsibilities:
(1) He/she shall record and distribute to all Members the proceedings of all business meetings and meetings of the Board of Directors;
(2) He/she shall notify the membership of all Board and Business meetings and shall publish and distribute the agenda of the Annual Business Meeting;
(3) He/she shall maintain a registry of membership;
(4) He/she shall conduct appropriate correspondence and maintain a file of such;
(5) He/she shall submit a report of the minutes of the previous Business Meeting;
(6) He/she shall distribute the report of the Membership Committee to all Members ten (10) days prior to the Annual Meeting; and
(7) Upon disability of the President and President-Elect, he/she shall assume the office of the President until the next Annual Meeting.
Section 10. Treasurer. The Treasurer shall have the following duties and responsibilities:
(1) He/she shall maintain a registry of membership jointly with the Secretary;
(2) He/she shall bill to and collect from the appropriate Members all dues and fees pertaining to the Society;
(3) He/she shall render disbursements for authorized official expenses subject to the approval of the Board of Directors;
(4) He/she shall maintain a financial ledger, which shall be available for an annual audit by an outside accounting firm; he/she shall maintain, at the expense of the Society, a surety bond for the conduct of his/her office;
(5) He/she shall present a financial report to the membership at the Annual Business Meeting;
(6) He/she shall file or cause to be filed all state, local and federal tax or corporate documents required to be filed by the Society; and
(7) He/she shall prepare or cause to be prepared a biannual report and present it to the Board of Directors.
ARTICLE VIII: FINANCIAL AFFAIRS
Section 1. Contracts. The Board of Directors may authorize any officer or officers, agent or agents, to enter into any contract or execute and deliver any instrument in the name of and on behalf of the Corporation, and such authority may be general or confined to specific instances. Such authorization shall be memorialized in a resolution of the Board.
Section 2. Loans. No loans shall be contracted on behalf of the Corporation and no evidences of indebtedness shall be issued in its name unless authorized by a resolution of the Board of Directors.
Section 3. Checks, Drafts, etc. All checks, drafts or other orders for the payment of money, notes or other evidences of indebtedness issued in the name of the Corporation, shall be signed by such officer or officers, agent or agents of the Corporation and in such manner as shall from time to time be determined by resolution of the Board of Directors.
Section 4. Deposits. Subject to the provisions of Section 6, all funds of the Corporation not otherwise employed shall be deposited from time to time to the credit of the Corporation in such banks, trust companies or other depositories as the Board of Directors may select.
Section 5. Reports. The Treasurer shall prepare an annual report of the financial status of the Corporation and a report of its earnings to the Board of Directors and the membership.
Section 6. Endowment Fund. The Corporation shall maintain an endowment fund, and all contributions to the Society, which are designated as an endowment fund contribution, shall be deposited in such fund in accordance with the terms of such endowment If permitted under the terms of the endowment, at the end of each fiscal year of the Corporation, the Board of Directors shall determine what percentage, if any, of the endowment fund investment earnings generated during the preceding fiscal year, shall be used as current operating expenditures solely for educational and research purposes. All other endowment fund investment income shall be reinvested in accordance with the terms of the endowment or reinvested as principal or capital and shall thereafter be held as same. Available endowment fund investment income shall not be available for appropriation to the aforesaid educational and research purposes until the fiscal year after which it is earned.
ARTICLE IX: FISCAL YEAR
The fiscal year of the Corporation shall end on December 31.
ARTICLE X: MEMBERSHIP DUES
The entering Member's first year dues as well as the continuing Member's dues will be set by the Board of Directors and approved by the voting Members. All membership dues shall be payable at the beginning of the fiscal year, January 1. A Member or Associate Member six months in arrears in membership dues will be considered inactive. No regular membership dues will be assessed for Honorary, International, or Emeritus Members.
ARTICLE XI: LOSS OF MEMBERSHIP/LEAVE OF ABSENCE
Section 1. Removal. Any Member or Associate Member may be removed from membership for:
(a) Failure to adhere to the obligations and objectives of the Society set forth in the Articles of Incorporation and in these Bylaws;
(b) Unless excused by the Board of Directors, a member delinquent in dues for more than one year will be assessed a late fee of fifty dollars ($50.00). If a member remains delinquent in dues for twenty-four (24) months from the date of the dues notice, that individual may be removed from membership. An individual whose membership has lapsed because of nonpayment may be reinstated on payment of the current year's dues and all delinquent years' dues; and
(c) Failure to maintain good standing in the medical profession as determined by the Board of Healing Arts (or comparable medical profession regulatory body) of the state in which the person practices medicine.
Section 2. Leave of Absence. A leave-of-absence status may be granted to a Member for serious illness that precludes medical practice. During this time, dues shall be waived. When active membership status is reinstated, dues shall resume without retroactive payments. If the Member is unable to practice for five (5) consecutive years then status can revert to "emeritus" or "honorary" if the Member so wishes and the Board of Directors agrees. After five (5) consecutive non-dues paying years due to illness the Member must therefore either resume dues payment or revert to the appropriate non-dues paying status.
Section 3. Board Action. The President shall appoint an ad hoc Ethics Committee as needed from time to time from among those members who are independent of the particular event which caused such committee to be convened. The Board of Directors and the ad hoc Ethics Committee shall act by two-thirds vote to implement the above removal, and to notify the person concerned by mail. Prior to any action, the Member will be notified sixty (60) days in advance by registered mail. Any appeal to the Board of Directors' action must be submitted to the Secretary in writing within thirty (30) days thereafter for presentation to the Board of Directors and the Ethics Committee. A decision will be by majority vote of the membership at the next Annual Meeting based upon the recommendation of the Ethics Committee and the Board of Directors.
ARTICLE XII: INDEMNIFICATION OF DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS
Section 1. Indemnification. The provisions of this Article shall be in the nature of a contract between the Corporation and each of its Directors and officers made in consideration of such person's continued service to the Corporation. The protection afforded to each Director or officer by the provisions of this Article shall survive such person's term of office or employment. This Article may not be repealed, nor may the benefits to the Directors and officers afforded hereby be diminished, except as to liability accruing in respect of acts or omissions occurring after the date of such repeal or modification.
Section 2. Hold Harmless. The Corporation shall hold harmless and indemnify each Director and officer to the fullest extent authorized or permitted by the provisions of Subsections 1 through 6 and 9 through 11 of Section 355.476, Missouri Revised Statutes, as amended (which Section, in its entirety, is hereinafter referred to as the "State Statute") or any other or additional statutory provisions which are hereafter adopted authorizing or permitting such indemnification.
Section 3. Insurance. The Corporation may purchase and maintain for the benefit of each Director or officer, as named insured or additional insured, a policy or policies of general comprehensive liability insurance (covering claims arising out of death, illness or injury or arising out of property loss or damage) and Directors' and officers' liability insurance (covering claims arising out of wrongful acts or omissions) in respect of liabilities asserted against and/or incurred by its Directors and officers in either such capacity or otherwise in the performance of their services for the Corporation.
Section 4. Expenses. In addition to the foregoing, and subject only to the exclusions set forth in Article XII, Section (5) of this Article, the Corporation shall, to the fullest extent authorized or permitted by the provisions of Subsection 7 of the State Statute, hold harmless and indemnify each Director and officer: (i) against any and all expenses (including attorneys' fees), judgments, fines and amounts paid in settlement actually and reasonably incurred by such Director or officer in connection with any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative (including an action by or in the right of the Corporation) to which such Director or officer is, was or at any time became a party, or is threatened to be made a party, by reason of the fact that such Director or officer is, was or at any time becomes a Director, officer, employee or agent of the Corporation, or is or was serving or at any time serves at the request of the corporation as a Director, officer, employee or agent of another Corporation, partnership, joint venture, trust or other enterprise; and (ii) otherwise to the fullest extent as may be provided to such Director or officer by the Corporation under the State Statute.
Section 5. Corporation Liability. No indemnity pursuant to Section 4 of this Article shall be paid by the Corporation: (i) except to the extent the aggregate of losses to be indemnified there under exceeds the amount of such losses for which the Director or officer is indemnified either pursuant to Section (2) of this Article or pursuant to any insurance of the type referred to in Section (3) of this Article purchased and maintained by the Corporation; (ii) in respect of remuneration paid to such Director or officer if it shall be determined by a final decision of a court having jurisdiction in the matter that such remuneration was in violation of law; (iii) on account of such Director's or officer's conduct which is finally adjudged by a court having jurisdiction in the matter to have been knowingly fraudulent, deliberately dishonest or willful misconduct; or (iv) if a final decision by a court having jurisdiction in the matter shall determine that such indemnification is not lawful.
Section 6. Term of Coverage. All agreements and obligations of the Corporation contained in this Article shall continue during the period the Director or officer is a Director or officer of the Corporation (or is or was serving at the request of the Corporation as a director, officer, employee or agent of another Corporation, partnership, joint venture, trust or other enterprise) and shall continue thereafter so long as the Director or officer shall be subject to any possible claim or threatened, pending or completed action, suit or proceeding, whether civil, criminal or investigative, by reason of the fact that he or she was a Director or officer of the Corporation or was serving in any other capacity referred to in this Article.
Section 7. Payment. The Corporation will pay, in advance of the final disposition of the action, suit or proceeding, all reasonable expenses of the Director or officer incurred in defending any civil or criminal action, suit or proceeding against him or her, provided he or she shall have agreed to reimburse the Corporation if and to the extent that it shall be ultimately determined that he or she is not entitled to be indemnified by the Corporation for such expenses.
ARTICLE XIII: CORPORATE SEAL
The Corporation shall not have a seal.
ARTICLE XIV: BOOKS AND RECORDS TO BE KEPT
The Corporation shall keep as permanent records minutes of all meetings of its Board of Directors, a record of all actions taken by the Directors without a meeting, and a record of all actions taken by committees of the Board of Directors. The Corporation shall maintain appropriate accounting records. A copy of the following records shall be kept at the Corporation's principal office: the Articles of Incorporation and all amendments to them currently in effect, these Bylaws and all amendments to them currently in effect, all committee Charters that are adopted by resolution of the Board of Directors, a list of the names and business or home addresses of the current Directors and officers, the most recent annual report delivered to the Secretary of State, and appropriate financial statements of all income and expenses.
ARTICLE XV: WAIVER OF NOTICE
Whenever any notice is required to be given under the provisions of these Bylaws the Articles of Incorporation, or the Missouri Nonprofit Corporation Act, a waiver thereof in writing, signed by the person or persons entitled to such notice, whether before or after the time stated therein, shall be deemed equivalent to the giving of such notice.
ARTICLE XVI: AMENDMENTS
The Bylaws may be changed or amended by submitting a written resolution to the Board of Directors who, in turn, will present the suggested change or amendment to the membership at least sixty (60) days prior to the next Annual Meeting, provided the unanimity requirement of Article XVII is satisfied at the Board level. A two-thirds majority vote of the voting Members at a meeting at which a quorum is in attendance will be necessary for adoption of a change or amendment to the Bylaws of the Society. Members not attending the Annual Meeting may cast their vote by a qualified proxy delivered to the Secretary of the meeting. in accordance with Article III, Section 15(b) of these Bylaws.
ARTICLE XVII: EFFECTIVE DATE OF ADOPTION
Following approval by an unanimous vote of the Board of Directors of the Corporation, these Bylaws shall become effective upon that date on which they are ratified by the voting Members as set forth in Article XVI above.
Adopted this: April 26, 2013.
Joseph E. Kerschner, MD
President, American Society of Pediatric Otolaryngology
Marci M. Lesperance, MD
Secretary, American Society of Pediatric Otolaryngology
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RESEARCH INTO MID-SIZE BUSINESS GROWTH
NOVEMBER 2011
Research into Mid-Size Business Growth
Final Report
November 2011
Research Team
Professor David North
Dr Rob Baldock
Dr Ian Vickers
Centre for Enterprise and Economic Development Research (CEEDR)
Middlesex University Business School
The Burroughs
London NW4 4BT
The views expressed within this paper are those of the authors and should not be interpreted as those of BIS or HM Government
Contents
EXECUTIVE SUMMARY
Research Objective and Methodology
- The research examines the factors influencing the growth plans and potential of mid sized businesses (MSBs) and decisions about the scale and future direction of investment. MSBs are defined as having a sales turnover between £25-£500 million.
- A sample of 35 MSBs across a range of sectors was interviewed during August and September 2011 and reflected different categories of growth orientation: (i) seeking growth and achieving it; (ii) seeking growth but having difficulties achieving it; and (iii) survival orientated.
Characteristics of surveyed MSBs
- Typically well established businesses, with 30 (86 per cent) trading for 20 years or more.
- Just under half (46 per cent) are family owned businesses and a similar proportion (46 per cent) are subsidiaries of larger companies. The majority of subsidiaries are owned by foreign companies (mostly from other EU countries).
- One fifth currently employ less than 100 staff and just over one fifth (22 per cent) employ 500 or more.
- Manufacturing (29 per cent) and business and financial services (29 per cent) are the largest sectors represented.
Growth Aims and Achievements
- More than four fifths (85 per cent) were aiming for growth over the last three years, with the rest aiming to 'survive' or 'consolidate'. Growth was mainly sought in terms of increases in sales turnover, profits and market share.
- The MSBs exhibited very mixed business performance over the last three years. Just over a third of them (37 per cent) exhibited a combination of increasing sales, profits, and employment.
- Growth was mostly achieved organically (in 74 per cent of MSBs) although in nearly a third (31 per cent) it also involved making acquisitions (especially in financial services and construction). Just under a third (29 per cent) described their growth as opportunistic, at least to some extent.
- Two thirds experienced increases in sales turnover over the last three years, compared with just over a quarter (28 per cent) that had reduced sales turnover. Several experienced dips during 2009-10 due to the impact of adverse market conditions.
- Just under half (46 per cent) experienced an increase in net profit compared to over a third (37 per cent) experiencing a decrease. Similarly, almost half (49 per cent) achieved an increase in employment, against two fifths (40 per cent) where employment fell.
- The best performing MSBs came from three main sectors: manufacturing (especially defence related activities); transport and logistics, and financial services. The worst performing were concentrated in the construction and property related sectors, reflecting the particularly difficult conditions affecting these markets in recent years.
- Family owned MSBs tended to be amongst the 'middle' business performers, with several of them being in sectors experiencing difficult market conditions.
- A higher proportion of subsidiary MSBs achieved growth in sales, net profits, and employment over the last three years than did their independent counterparts (44 per cent compared to 32 per cent). They were also less likely to grow by means of acquiring other companies.
- The large MSBs (with over £100 million sales turnover) were well represented amongst the best performers. They also exhibited higher levels of management satisfaction with business performance than their smaller counterparts.
- In terms of their predicted performance during 2011-12, more than two thirds (69 per cent) of MSBs expected an increase in sales turnover, under half (46 per cent) expected an increase in net profits, and half (51 per cent) expected an increase in employment.
- Whilst only one in six predicted declining sales turnover in the next year, two fifths predicted declining employment.
Investment & Finance
- Investment levels tend to be polarised, with a few MSBs (particularly in transport and logistics) making high levels of investment (15 per cent investing more than £25 million over the last three years) with others (particularly in service sectors) investing relatively little (29 per cent investing less than £1 million over the last three years).
- Whilst the majority of MSBs planned little change to the level of investment over the next two years, five proposed to make a significant step up in investment compared to just one expecting investment to be lower.
- Investment was financed in various ways, including through re-investing profits/surpluses, funding from parent companies, as well as from different external sources. Just over half of the growth orientated MSBs raised at least part of their
investment funding needs from external sources. Only one business reported difficulties in obtaining the bank finance that it needed.
- Whilst subsidiary MSBs had a similar investment pattern to other MSBs, they relied less on external finance as they were able to draw on the financial resources of their parent companies.
Markets and Exporting
- One third of MSBs considered that their markets had become increasingly competitive over the last three years, whereas one eighth indicated decreasing levels of competition. Family owned businesses exhibited a high proportion experiencing increasing competition, reflecting their close association with the construction/ property sector.
- More than half (54 per cent) of the MSBs were involved in export activity, with exports accounting for an average of 49 per cent of sales in these firms. More firms had increased than decreased their export activity over the last three years.
- Foreign markets provided important opportunities for growth for some firms/sectors at a time when many UK markets had become stagnant. The majority of MSBs where exports accounted for at least 50 per cent of sales turnover achieved growth over the last three years, and included some of the best performing firms.
Capabilities and Constraints
- When asked about their understanding of the strengths and weaknesses of their business, employee skills was the most frequently mentioned strength followed by customer service and business operations/systems. The main areas where scope for improvement was identified related to operational systems, particularly with regard to IT and client management systems.
- Over half (55 per cent) of MSBs identified at least one internal barrier or constraint to the growth and development of their business, the most frequently mentioned being management capacity, skills and capabilities (20 per cent) and operations systems, often relating to IT issues (20 per cent).
- The majority (89 per cent) of MSBs identified at least one external barrier or constraint to the growth and development of their business, the most frequently mentioned being market uncertainties (43 per cent), followed by regulatory issues (37 per cent), staff recruitment (26 per cent), and access to finance (17 per cent).
- External market conditions are a major concern over the next 12 months for more than two fifths (43 per cent), along with regulations (particularly employment law) (37 per cent) and recruitment of key skilled staff (26 per cent).
1. INTRODUCTION
1.1 Research objective
Using a case study approach, the research is concerned with understanding the factors that are influencing the growth plans and potential of mid sized businesses (MSBs) at the present time and affecting management strategies and decisions about the scale and future direction of investment. The primary focus of the research is on companies that potentially appear to be in a strong position to grow in that they are profitable and financially healthy and have an appetite for growth, However, some of these companies may have been under-achieving in growth over the last three years, with their managers not being totally satisfied with the growth rate and performance achieved. Other companies may have done comparatively well, but objectively given certain measurable factors (e.g. quality of management or strength of balance sheet) ought to have done or be doing even better. For comparative purposes, the research has also included a number of MSBs that have been struggling to grow and more concerned with survival than growth over the period. This will enable us to see whether or not non-growth MSBs share many of the same characteristics (e.g. in terms of sector, ownership, investment) as growth MSBs.
1.2 Methodology
The research was undertaken between August and September 2011 and focused on a sample of 35 MSBs, defined as having a sales turnover of between £25m-£500m, selected from the 2010 Finance Survey of Mid-cap Businesses (undertaken by BDRC Continental and using a sample of 10,627 mid-cap businesses provided by pH group). The sample was selected from the database of 401 businesses that were interviewed in SeptemberOctober 2010, of which 184 (46 per cent) agreed to be re-surveyed.
The sample aimed to be representative of the sectoral and size profile of MSBs, as demonstrated in Table 1 below. Contextual data presenting the overall BDRC 184 MSB sample characteristics can also be found in the Annex Table at the end of the report.
Surveyed MSBs were selected in order to provide a sufficient sample that reflected different categories of growth orientation:
(i) seeking growth and achieving it;
(ii) seeking growth but having difficulties achieving it;
(iii) survival oriented.
Table 1: Mid Size Business Sample
| | pH Sample | | BDRC Sample | |
|---|---|---|---|---|
| Sales Turnover 2010 (£m) | No | % | No | % |
| 25-49.9 | 2181 | 43.1 | 61 | 38.6 |
| 50-99.9 | 1482 | 29.2 | 52 | 33 |
| 100-500 | 1406 | 27.7 | 45 | 28.4 |
| Total | 5069 | 100 | 158 | 100 |
| Sector | | | | |
| Primary | 65 | 0.6 | 0 | n/a |
| Manufacturing | 2533 | 23.8 | 47 | 25.5 |
| Construction/Utilities | 839 | 7.9 | 11 | 6 |
| Wholesale/Retail/Vehicles | 2620 | 24.7 | 46 | 25 |
| Restaurants/Catering | 219 | 2.1 | 1 | 0.5 |
| Transport | 779 | 7.3 | 23 | 12.5 |
| Business/Financial Services | 2918 | 27.5 | 47 | 25.5 |
| Health/Education | 228 | 2.1 | 2 | 1.1 |
| Other Services | 426 | 4 | 7 | 3.8 |
| Total | 10627 | 100 | 184 | 100 |
The sample also aimed to capture a number of family-owned businesses, which were defined as businesses where families own at least a 20 per cent share 1 and are involved in the day to day management of the business (rather than leaving this to separate professional managers). ,
The survey consisted of 35 extended telephone interviews with key managers and decision makers in the MSBs (i.e. Chief Executive Officers, Managing Directors and Financial Directors) and typically took between 30 and 45 minutes to complete. Each interview was fully written up and presented to BIS as anonymous case studies (subject to the agreement of the interviewee).
The remainder of this report sets out the MSB survey findings, specifically presenting sections on: survey characteristics, growth aims and achievement, investment and finance, markets and exports, business capabilities and barriers, and views on government policy. The importance of family ownership and size within the MSB turnover band are presented as cross cutting themes of particular interest to BIS. The report concludes with a summary of key findings.
1 Chakrabarty, S. (2009) The influence of national culture and institutional voids on family ownership of large firms: a country level empirical study, Journal of International Management, 15(1).
2. SURVEY CHARACTERISTICS, GROWTH AIMS AND PERFORMANCE
2.1 Introduction
This section sets out the characteristics of the surveyed MSBs, contextualising them within the UK MSB population, before focusing specifically on their growth aims and performance during the past three years and forecast over the next year or two. The data presented in this section relates to the performance of UK based businesses (i.e. excludes overseas offices) and where they are a subsidiary of a larger firm, they have only been included if they are a separate profit making centre.
2.2 Survey Characteristics
The surveyed MSBs are well distributed throughout the UK which, as many of them are multi-office, is largely reflective of their UK head office locations. Just over half (54 per cent) are located in the London, South East and Eastern regions, with 14 per cent in the North of England, 12 per cent in the Midlands and South West, 11 per cent in Scotland and nine per cent in Northern Ireland.
Current UK employment in the surveyed MSBs ranged from 23 in an art gallery to 4,500 in a contract cleaning company (with many part-time employees), with a median size of 250 employees. One fifth currently employ less than 100 staff and just over one fifth (22 per cent) employ 500 or more, of which 11 per cent employ 1,000 or more.
More than three quarters (78 per cent) are private limited companies, the remainder being Public Limited Companies and one Limited Liability Partnership (LLP). Just over half (46 per cent) are subsidiaries of larger companies, of which 11 are foreign owned (mainly European, but also including Japanese and US companies).
The MSBs in the sample are typically well established companies, the youngest one trading for eight years, with just five (14 per cent) trading for less than 20 years and 14 (28 per cent) trading for more than fifty years. Six businesses were spin outs, typically from other businesses, but including one university R&D spin out and a further case started as a franchise. Only four cases (11 per cent) had changed ownership during the last five years.
The surveyed MSBs are typically reflective of the overall 'pH' sample of MSBs with regard to sales turnover size and sector. Table 2.1 shows that just over two-fifths are currently in the £25-49m sales turnover category and just over a quarter (26 per cent) have between £100-500m sales turnover. Manufacturing (29 per cent) and business and financial services (also 29 per cent) are proportionately the largest sectors represented, with a fairly even distribution of construction, transport, wholesale/vehicle distribution and other services also being represented.
Table 2.1: Sector and Sales Turnover Size Distribution
| Sales Turnover (£m) | No | % |
|---|---|---|
| 25-49 | 15 | 43 |
| 50-99 | 11 | 31 |
| 100-249 | 6 | 17 |
| 250-500 | 3 | 9 |
| Total | 35 | 100 |
| Sector | No | % |
| Manufacturing | 10 | 29 |
| Construction/Utilities | 5 | 14 |
| Wholesale/Retail/Vehicles | 3 | 9 |
| Transport | 4 | 11 |
| Business/Financial Services | 10 | 29 |
| Other Services | 3 | 9 |
| Total | 35 | 100 |
2.3 Family Businesses
Nearly half (16 cases; 46 per cent) of the MSBs surveyed were defined as 'family' businesses, with the family owning between 51-100 per cent of the shares. They included two MSBs which were UK subsidiaries of German parent companies that were family owned. Interestingly, only one of these family owned MSBs was still under first generation ownership. Five (31 per cent of them) were owned by members of the second generation, and ten (63 per cent) by members of subsequent generations. With the exception of a 100 year old company that had gone through various ownership changes but been bought back 12 years ago by descendants of the original founders, all these MSBs had stayed within the same family throughout their history.
In 14 of the cases, the family has a role on the executive board and in several cases this was flagged as a controlling role (e.g. CEO, Chairman, Managing Director). Indeed, only one family owned business was defined as being operated by a professional management team, with no input from a family member. Five of these businesses have Non Executive Directors (NEDs), a lower proportion than is found amongst other MSBs surveyed (31 per cent of family MSBs, compared to 58 per cent of other MSBs). Sometimes NEDs are sourced through family contacts, but also through industry and business service providers. NEDs most typically offer specialist industry sector advice, or financial management expertise.
2.4 Subsidiaries
UK based subsidiaries were included in the study where they were separate profit centres and part of larger organisations with under £500m sales turnover. Just under half (46 per cent) of the MSBs surveyed were subsidiaries of larger companies, this being a slightly higher proportion than found in the BDRC survey (35 per cent: Annex Table). Although
they had a similar employment size distribution to their independent counterparts, a slightly higher proportion of them had sales turnover in 2010 of between £250-500m (13 per cent compared to five per cent). These firms also had a far higher proportion of manufacturing, construction and transport firms than their independent firm counterparts (80 per cent compared to 35 per cent).
A clear distinction between the subsidiaries and other surveyed MSBs is that 11 of the 16 subsidiaries were overseas owned (eight EU, two Japanese and one US). They also exhibited a higher proportion changing ownership over the last five years than their independent counterparts (19 per cent of them compared to five per cent). Just over a third (38 per cent) of subsidiaries were part of family owned groups compared to more than half (53 per cent) of the independently owned MSBs.
2.5 Business Growth Aims
More than four fifths (85 per cent) of the surveyed MSBs were aiming to grow during the past three years, with the remaining five MSBs stating that they were aiming to "survive" or "consolidate".
Table 2.2 below indicates that the MSBs were seeking to grow in various ways, but that the main aims were typically increased sales and profits, followed by increased market share. Profitability was most frequently mentioned, including by those MSBs that were not performing as well as they aimed to, but were seeking consolidation and efficiencies:
"We are seeking to grow bottom line profitability through developing added value meat processing." – (agri-business)
"We aim to hold onto the higher margin business and let the low margin side go." – (textile importer)
Two fifths were seeking to increase exports, whilst only one quarter were aiming to grow employment. Four businesses with equity investment were highly growth seeking, being purportedly well managed and aiming to achieve increased value for their shareholders, or for future trade sales.
Past growth was mainly achieved organically (26 cases; 74 per cent), but with 11 cases (31 per cent) undertaking acquisitions during the past three years and five cases only growing through acquisitions. Acquisitions were viewed as important to growth for wholesale/retail and service providers such as builders merchants and travel agents, in order to generate more sales outlets and increase market share, but also for developing R&D and new markets. In some cases acquisitions were opportunistic, rather than strategic, where poorer performing competitors with suitable client profiles have been purchased at relatively little cost.
Table 2.2: Types of Past and Future Growth Aims
| Type of Growth | Last 3 years | | |
|---|---|---|---|
| | no. | % | no. |
| Sales Turnover | 25 | 72 | 25 |
| Market share | 23 | 66 | 27 |
| Profits | 26 | 74 | 27 |
| Market valuation | 4 | 11 | 4 |
| Employment | 9 | 26 | 13 |
| New markets | 18 | 51 | 16 |
| Exports | 14 | 40 | 13 |
When asked whether growth achieved had been 'opportunistic', 10 cases (29 per cent) mentioned that this had been the case, at least to some extent, with two specifically mentioning that growth had been entirely opportunistic. An example of this was an insurance company where the manager stated:
"We did not plan to grow …..This is due to the competitors pricing of motor insurance policies, which has increased considerably in recent years. We simply raised our prices in line with the market and made more profit. We didn't need to do this. Actually we do not want to get too much share of the market as we wouldn't be physically able to service it."
A similar proportion (86 per cent) of MSBs had a future growth aim for the next year or so, as for the previous three years. As Table 2.2 demonstrates there is a slightly greater emphasis on increasing future market share, alongside with profitability, and also with more than a third of MSBs indicating aims for increased employment. Again organic growth is largely favoured (80 per cent), with 29 per cent considering acquisitions as part of their growth strategy and nine per cent focusing growth on acquisitions.
2.6 Business Growth Performance
The surveyed MSBs exhibit very mixed business performance results, both over the past three years and in their forecasts for the next completed financial year. This is potentially reflective of the wider MSB population, given the range of sectors surveyed and the relative impacts of the economic downturn on them.
Surveyed MSB managers were asked for sales turnover, net profit and employment change data for the past three years and for projections over the next year. Sales turnover results therefore relate to the three years up to the last completed financial end of year, with forecasts for the next completed financial year. Employment relates to total aggregate employment (full-time and part-time and disregards seasonal changes). Net profitability forecasts have not been recorded for three Public Limited Companies due to their shareholder confidentiality rules.
Two thirds of MSBs had experienced increasing sales turnover during the past years, although in a number of cases there had been dips during the 2009-10 period due to the demand reduction impacts of the economic downturn. Just over one quarter experienced reduced sales turnover in this period. There was less growth in net profits over the last three years, with just under half (46 per cent) of MSBs experiencing an increase and over a third (37 per cent) experiencing a decline. They also performed less well in terms of employment, with almost half (49 per cent) increasing employment against two fifths (40 per cent) reducing employment. A number of MSBs experienced tightening and reduction in profit margins and shed labour in a drive to reduce costs and improve efficiencies and this affected some firms that were growing their sales turnover, as only 13 MSBs (37 per cent) exhibited a combination of increased sales, profits and employment.
Table 2.3: Summary Business Performance, Past 3 Years and Next Year Forecast
| | Past 3 years | | |
|---|---|---|---|
| Sales Turnover | no. | % | no. |
| Up | 23 | 66 | 24 |
| Same | 2 | 6 | 5 |
| Down | 10 | 28 | 6 |
| Net Profit | | | |
| Up | 16 | 46 | 16 |
| Same | 6 | 17 | 13 |
| Down | 13 | 37 | 3 |
| d/k | n/a | n/a | 3 |
| Employment | | | |
| Up | 17 | 49 | 18 |
| Same | 8 | 23 | 3 |
The most successful businesses come from three main sectors; manufacturing, transport and financial services. These businesses are characterised by having clear growth plans and strategies. For manufacturing and transportation this involved expanding export markets, particularly in exploiting emerging markets in the Far East (particularly China), India, Brazil and Eastern Europe. In a number of service businesses, growth involved strategic and opportunistic acquisitions to increase market share. In several cases growth had been opportunistic, because of improved market circumstances and this was particularly evident in the financial services where insurance prices have been rising. The following is an example of a travel service company's opportunistic acquisition strategy:
"Growth has been largely planned, but we have made two opportunistic acquisitions. One small travel company owned by a friend was taken over at no cost, because it was struggling, but had the right type of client base for us to work with. Another small commercial travel operator has been purchased through an 'earn out' arrangement. Again, this was a struggling company which fitted well with our client base and commercial business market."
Amongst those businesses that have seen only partial growth, this has often been due to adverse and difficult market conditions, as exemplified by the manager of a property maintenance company:
"Any growth in sales has been through planned strategic activity, increasing market share and expanding into new markets, but overall the business is shedding labour and experiencing a struggle to maintain current levels of profitability."
Achieving growth is not necessarily a smooth, continuous process, with some MSBs experiencing a decline in the volume of business and then subsequently regaining the lost ground. For example a manufacturer of iron and alloy steels for the automotive sector experienced a 27 per cent fall in its sales turnover between 2007 and 2009 because of a falling order book and the closure of several of its customers, but then experienced substantial sales growth in 2010-11 to return to its pre-recession level. From making 35 redundancies and operating a three day production week, the company was now back to its previous employment level and operating two shifts per day and overtime. Similarly, a road construction machinery importer and sales company experienced a dip in sales and profits in 2008-09 and 2009-10 before returning to previous levels in 2010-11 – to quote from the interviewed finance director: "we have been pleased with the recovery of the business, which has surpassed expectations."
The poorer performing MSBs, of which eight (23 per cent) experienced declining sales, profits and employment during the last three years, are characterised particularly by poor market conditions. These include a number of construction and property related businesses that are tied to the UK market. This group also contains MSBs that have undertaken extensive rationalisation strategies in order to become leaner and more efficient in the future and are now showing signs of improvement. The response from a manufacturing manager highlights this:
"The business has contracted in size during the last 3-5 years, due to the realisation that we will be more profitable in the longer term by reducing our chemical manufacturing activities, which are not globally competitive with those of emerging market suppliers in China, and focusing more on R&D."
With regards to their future outlook, more than two thirds of the MSBs indicated increasing sales turnover over the next year and half indicated that they will increase employment, with less than one in ten indicating reduced profits and one in six indicating declining sales turnover. Of more concern is the prediction that two fifths may reduce employment.
The most positive growth forecasts for the next year are from the transport and manufacturing sectors where increased export/overseas activity is driving business development, and from UK based service providers, mainly in financial services, where further acquisitions are planned, or the market conditions appear favourable.
However, even amongst these MSBs there are concerns that the global economy may be taking another downturn:
"There are less large-scale projects being undertaken right now and margins are being squeezed, due to market uncertainties, which first arose in 2008-09, receded in 2010, but have come back in the last few months again." - (transport business)
Amongst the MSBs predicting declining business performance over the next year, the construction and related property market sectors appear to be particularly pessimistic, with some indications that there has already been a downturn:
"Efficiencies have led to declining employment, fluctuating net profit and declining sales, despite increasing market share – the market has been shrinking fast. In such a volatile market we have managed to maintain a robust balance sheet, but this is probably the best we could hope for – particularly with the dip in demand in winter 2010." - (construction business).
There are also concerns that the impact of UK public sector spending cutbacks have yet to be felt and that these could have further negative repercussions for forecast business performance in certain sectors.
"Half of our customers are public sector where budgets are being cut back and they are becoming increasingly price sensitive. This has been particularly noticeable in the last few years and there is a shift away from quality towards achieving the lowest price. It will take us a long time to replace our public sector work with private sector work, so our immediate future performance is likely to be aiming for stability rather than growth." – (property maintenance company).
Family owned MSBs
Although this is a small sample, the 16 family owned businesses appear to be mostly situated amongst the 'middle performers', with only five exhibiting overall growth in sales turnover, net profits and employment and three cases exhibiting a fall in all three measures. With regard to future growth, four family owned businesses were amongst the nine that forecast sales turnover growth of at least £15m in the next year, whilst two were amongst the six forecasting declining sales turnover.
Subsidiary MSBs
The performance of the 16 subsidiary MSBs was broadly in line with their independent counterparts, although with a slightly higher proportion achieving combined growth in sales, net profits, and employment (44 per cent compared to 32 per cent). With regards to future growth, five subsidiaries were amongst the nine that forecast sales turnover growth of at least £15 million in the next year, whilst four were amongst the six forecasting declining sales turnover.
Large MSBs
The nine businesses with £100m plus sales turnover provide five of the 13 cases where sales turnover, net profitability and employment all increased during the past three years and only one case where they all declined. Six of these large MSBs exhibit future forecast sales turnover increases of between £15m and £40m in the next year, with only one indicating a forecast fall (of £5m). Five out the nine large MSBs also forecast increased employment of between five and 200 staff during the next year.
Impact of NEDs
It is notable that the 17 MSBs with NEDs performed better than their counterparts, with regard to increasing sales turnover (76 per cent compared to 56 per cent), net profitability (53 per cent compared to 39 per cent) and employment (59 per cent compared to 39 per cent). This may indicate that these MSBs have a better range of management competencies to achieve growth.
2.7 Differences between Growth Ambitions and Performance
Whilst a high proportion of surveyed MSBs (30 cases; 85 per cent) were aiming to grow in the last three years, the actual performance of these growth seeking businesses was quite varied, with 20 of them increasing sales turnover, 15 increasing net profits and 16 increasing employment. Indeed, five experienced reduced sales, nine recorded declining profits and eight reduced employment in this period. Poor performance amongst the aspiring growth MSBs reveals that sectoral market conditions have been the main contributory factor, particularly in the construction/property related sectors and automotive industry. Other factors have related to exchange rates and the increasing cost of imported inputs, positioning in the product/service development or project cycle and the volatility of the market which has led to unexpected project cancellations and falls in demand, due to the economic downturn and resultant lack of confidence amongst customers. MSBs that are in the middle of the supply chain, rather than supplying end users have had their margins cutback, leading to strategic adjustments in some cases (e.g. in IT services and products) where the businesses are now exploring more end user markets.
3. INVESTMENTS AND FINANCE
3.1 Introduction
In this section we first describe the investments made by the MSBs over the last three years, identifying the amount invested and what it was spent on, before then reporting on how much interviewed managers expected to be invested in the growth and development of their businesses over the next year. We then consider the financing of the investment and the extent to which it involved the use of external funding sources. Finally, we consider the information relating to the cash balances held by the companies and their intended use of them.
3.2 Investment levels
Table 3.1: Recent and planned investment levels
| | Investment last 3 yrs | | |
|---|---|---|---|
| | no. | % | no. |
| £50m + | 2 | 6 | 0 |
| £25-49m | 3 | 9 | 3 |
| £10-24m | 1 | 3 | 3 |
| £5-9m | 7 | 20 | 4 |
| £1-4m | 9 | 26 | 13 |
| <£1m | 10 | 29 | 10 |
| Unknown | 3 | 9 | 2 |
| Total | 35 | 100 | 35 |
As shown in Table 3.1, the distribution of investment levels tends to be polarised, with a few MSBs making high levels of investment on the one hand (15 per cent investing more than £25 million over the 2008-10 period), but the majority investing much less than this (almost two thirds investing less than £5 million). Investment intentions over the next two years show a similar polarised pattern with 18 per cent expecting to invest more than £10 million compared to 66 per cent less than £5 million. The majority of businesses were planning to keep to the same level of investment as in the previous three years (allowing for the planned investment frequencies in Table 3.1 covering just a two year period), although five were proposing to make a significant step up in investment – in two cases to make acquisitions, in a third case to bring call centre functions in house, in a fourth case to set up overseas offices, and in a fifth case to overhaul equipment as part of the company's five year investment cycle. Only one case expected investment to be lower, this being a fine arts dealer that had invested in a new gallery during the 2007-10 period.
The main determinant of the amount spent on investment is the sector that the MSB is in. Capital expenditure as a percentage of sales turnover ranged from less than two per cent in some service sectors with low overheads up to 30 per cent in sectors requiring expensive equipment and fixed assets. By far the highest levels were found amongst the transport and logistics businesses, with businesses involved in merchant shipping investing £25–30 million in a new vessel every year or so. Some growing manufacturing businesses invested between £1 – 3 million per year in new production facilities, R&D, and new product lines, whereas growing service businesses typically invested less than £0.5 million per year, normally in IT systems and associated staff training. For example, a rapidly growing motor insurance company with pre tax profits of £26 million only invested £150,000 per year as the directors considered there was no need to invest beyond maintenance and upgrading as they did not want to physically expand the business.
Achieving growth through the acquisition of existing companies also involved high levels of expenditure, this being fairly frequent amongst the fastest growing businesses in a diverse range of sectors. For example, a shipping logistics company spent £20 million on acquiring businesses in emerging markets in the last three years, a rapidly growing funeral services business invested £10-30 million per year in both acquiring small funeral businesses and opening high street retail offices, and a multi-media business had budgeted £20 million for making acquisitions over the next 2-3 years.
Because of the marked disparities in investment levels between MSBs in different sectors, it is not possible to discern any clear association between investment and growth performance from a small sample of 35 MSBs. Businesses with relatively high levels of investment (investing more than £5 million over the last three years) can be found amongst the growth underachievers as well as the best performers. Also, because investment is invariably lumpy, with major investments being made every few years rather than annually, it may take several years before there is an impact in terms of business growth and improved performance, as for example in the case of an electronics company that had a two-three year product development cycle. Thus growing MSBs may have been reaping the benefits of previous investments rather than ones made in the last three years, whereas current investments may not translate into growth for several years.
3.3 External financing
Just over half of the growth achieving businesses raised at least part of their investment funding needs over the last three years from external sources. A range of different sources was identified, including bank mortgages (e.g. to provide long-term finance for the purchase of shipping vessels), bank term loans (e.g. to fund acquisitions), hire purchase and trade finance (to fund machinery purchases), and in one case, public bond issues (to fund expansion generally). It would seem that all these growing businesses succeeded in raising the external finance that they needed without any real difficulty – to quote from one interviewed finance director, "we have found that UK banks have been falling over themselves to provide the necessary funding." (shipping company)
It is worth noting that for three MSBs that had been particularly active in making investments there was substantial involvement by private equity investors and that in at least two of these cases, the intention was to progress towards a trade sale in the next few years. For example, a tyre manufacturer owned by a private equity company has been aiming to maximise investment in new manufacturing equipment, R&D, and administrative systems for a trade sale realisation of the investment within the next three years. Similarly, a logistics company which was acquired by an equity investment company in 2006, had been increasing its investment in product and service development globally with a view to selling the business in the near future.
There is little apparent difference between the growth achieving MSBs and those that have encountered difficulties in achieving growth in terms of investment levels and the financing of them. Only one business reported difficulties in obtaining external funding, this being an agri-business requiring a £1 million bank loan to finance a new production facility –the interviewed managing director describing the five months of negotiation with their bank as 'a terrible experience'.
There was less willingness to invest in the case of several of the survival oriented MSBs, particularly amongst those facing market uncertainties such as in the property and construction sectors. For example, a property management company dependent upon the public sector for half its business, reported that there was currently a lack of opportunity to invest. Similarly, the finance director of a fuel supply company said that they were naturally cautious about making investments in the current economic climate, as well as needing to keep reserves for dividends and to cover the company's pension shortfall.
As might be expected, the MSBs which were subsidiaries of larger companies exhibited far less reliance on external finance such as from banks and equipment suppliers than did their independent counterparts (37 per cent compared to 63 per cent). Several subsidiaries mentioned that although they were separate profit centres, they were able to draw upon group finance when required.
3.4 Cash Balances
The interviewed managers were asked about the size of the company's stock of cash and about whether there was an intended use for it.
Of the 27 businesses that provided information on cash balances, just over a third (37 per cent) said that they did not have any cash, either because all surpluses were returned to the parent company in the case of several subsidiary MSBs, or because any surplus was offset by debt finance, or because all of any surplus was reinvested or spent on purchasing stock. Another third (33 per cent) had a relatively small cash balance of less than £10 million, this typically being regarded as a 'buffer' or 'safety net' or in the case of a construction company being able to demonstrate to potential customers that they are capable of delivering on large contracts.
At the other extreme, almost a fifth of companies (18 per cent) had a cash stock in excess of £25 million, with three of them having more than £50 million. These included three financial and insurance companies where a significant part of the cash reserve was needed to meet FSA solvency regulations. In another case, a military engineering company had built up a substantial £50 million cash balance as a result of a major five year US military contract, leading to a fourfold increase in sales turnover in the last three years. The interviewed finance director said that this had happened very rapidly and that they had not had time to consider how they would invest their cash stock, although he added that they would need funds as a buffer when the present contract ended and would also need funds for investing in future projects.
4. SALES MARKETS AND EXPORTS
4.1 Introduction
This section explores the level of competition experienced by the surveyed MSBs and the extent to which they are exporting.
4.2 Competition
One third (34 per cent) of respondents mentioned that their markets had become increasingly competitive during the last three years, with just over half (54 per cent) indicating stable but competitive markets, and just one eighth (12 per cent) indicating decreasing levels of competition. The sectors experiencing the greatest increase in competition were manufacturing, particularly from new overseas manufacturers, and construction and property where the UK market has experienced increasing competition as the overall size of the market has contracted.
There is no indication of a discernable relationship between competitive pressures and levels of investment, as MSBs experiencing decreasing competition are just as likely to invest heavily in increasing capacity, R&D, new product and service development, and new operating systems as those facing increasing competition. This suggests that investment is being driven by other factors, such as managers' growth ambitions and new market opportunities, rather than the strength of competition per se.
The reasons provided relating to competitive advantage were: reputation and brand name (11 cases); service range and flexible, reliable delivery (6 cases), with several respondents stressing that they had good market coverage, offering a "one stop shop of reliable and trusted in-house solutions"; excellent customer management (6 cases) "working closely with customers to deliver what is required"; quality of products and services (5 cases), "paying attention to added value and getting repeat customers"; key skills of employees where respondents stated "we only employ the best in the market" (5 cases); niche market activities (2 cases); and financial strength (1 case).
Family owned MSBs exhibited a higher proportion experiencing increasing competition than their counterparts (44 per cent compared to 26 per cent). This was particularly reflective of the high proportion of family businesses in the construction/property sector.
There is a clear pattern of decreasing levels of competition as businesses increase in size. A far higher proportion of smaller MSBs in the £25-49 million sales turnover range experienced increasing levels of competition (47 per cent), compared to those in the middle tier with £50-99 million sales turnover (36 per cent), or the larger MSBs with £100 million plus sales turnover (11 per cent). With the largest companies in sectors such as financial services and transport and distribution stating that the level of competition had remained the same.
4.3 Exports
Table 4.1: Extent of exporting by MSBs
| 75-100% | 6 | 17 |
|---|---|---|
| 50-74% | 4 | 11 |
| 25-49% | 3 | 9 |
| 1-24% | 6 | 17 |
| None | 16 | 46 |
| Total | 35 | 100 |
More than half (54 per cent) of the MSBs were involved in export activity, with exports accounting for 100 per cent of sales turnover at one extreme and just one per cent at the other. The mean proportion of sales accounted for by exports in 2010 was 49 per cent, with 10 companies exporting more than 50 per cent of their sales. Not surprisingly, the level of exporting activity proved to be particularly high in the case of logistics and shipping companies. For example, 57 per cent of the sales turnover of a marine survey company was derived from its activities linked to new oil field exploration in Australia, South East Asia, and Central America, whilst 97 per cent of that of a shipping logistics company was from a range of international markets. Several of the manufacturing companies were also strongly export orientated, as in the case of an aircraft tyre manufacturer that increased its export sales revenue by a third in the last three years (accounting for 75 per cent of its sales turnover in 2010) from the European market and a rapidly growing Chinese market, with a further 11 per cent increase forecast for 2011.
The level of export activity was reported to have increased over the last three years in eight of the MSBs and had decreased in only one MSB. International markets, especially in emerging markets (especially India, China and Latin America), were seen as major growth areas at a time when the UK market was flat. The US and Eastern European markets were also a source of growth for some firms.
A key finding is that the majority of the ten MSBs where exports accounted for at least 50 per cent of sales turnover were clearly growth orientated and achieved growth over the last three years, with six of them achieving growth in sales turnover, profits, and employment. Foreign markets clearly provided important opportunities for growth at a time when the UK market had become depressed. There was only one case of a survival orientated company which was highly export oriented, this being a manufacturer of chemical fragrances and food flavours that was refocusing its activities in the face of the intensity of competition from low cost, emerging market suppliers.
Interestingly, a somewhat smaller proportion of the subsidiary MSBs were exporting than their independent counterparts (56 per cent compared to 65 per cent), reflecting the fact that some subsidiaries of foreign owned companies were specifically targeting the UK market, notably in the financial services, construction, and energy sectors.
5. BUSINESS CAPABILITIES
5.1 Introduction
This section examines the capabilities of the surveyed MSBs, specifically focusing on how they rate their recent business performance, their perceived strengths and weaknesses, assessment of levels of competition and their main aspects of competitive advantage, management systems and capabilities and barriers and constraints to business development, both for the past three years and for the next year or two.
5.2 Satisfaction with Business Performance
Interviewed MSB managers were asked whether they were satisfied with the performance of their business in the past three years. Three fifths indicated that they were satisfied, with some giving the caveat that this was "…taking into context the difficult market conditions." Where management was not satisfied with business performance they typically suggested that they had taken steps to cut costs and introduce more efficient practices in order to increase profit margins and market share, and in some cases to diversify and develop niche and higher value markets (e.g. a meat processing company that was developing higher value added chilled food products).
Larger MSBs with £100 million plus sales turnover exhibited proportionally higher levels of management satisfaction with business performance (78 per cent) than those in the £5099 million (64 per cent) and £25-49 million (47 per cent) size categories. This seems to be in-line with the better growth performance of larger MSBs in the survey and their comparatively less competitive markets, when compared to their smaller MSB counterparts.
Family owned MSBs exhibited only slightly less management satisfaction with business performance (56 per cent) than their counterparts (63 per cent). However, a higher proportion of subsidiary MSBs exhibited management satisfaction (69 per cent) than their independent counterparts (53 per cent).
5.3 Strengths and Weaknesses
MSB managers were asked to highlight the main strengths and weaknesses of their businesses currently.
Table 5.1 demonstrates that a wide range of key business strengths were mentioned, with many respondents mentioning multiple strengths.
Table 5.1: Strengths and Weaknesses of MSBs
| | Strengths | | |
|---|---|---|---|
| | no. | % | no. |
| Management skills | 6 | 17 | 1 |
| Employee skills | 11 | 31 | 0 |
| Staff development | 6 | 17 | 4 |
| Strategy | 7 | 20 | 0 |
| Operations/systems | 8 | 23 | 6 |
| Product/Service Development | 7 | 20 | 3 |
| New markets | 4 | 11 | 3 |
| Customer service | 8 | 23 | 2 |
| Reputation/reliability | 5 | 14 | 0 |
| Strong customer base/niche | 2 | 5 | 0 |
| Recruitment | 0 | n/a | 2 |
| Sales and Marketing | 0 | n/a | 3 |
Note: % of n=35
Employee skills were the most frequently mentioned business strength, relating to almost one third of the MSBs. This particularly related to specific industry technical skills such as R&D and engineering, but was also important with regard to customer care and client handling, particularly for the business and financial services sector. Several respondents emphasised that "we recruit the best people in the industry." Allied to this, customer service and business operations/systems (which included client management systems, as well as production processes and logistics for flexible, 'just in time' delivery) were also frequently mentioned, by almost a quarter of managers. Furthermore, management skills and staff development and training were key strengths for one in six MSBs and business strategy was a key strength for one fifth.
Less than half (49 per cent) of MSB managers specifically mentioned business weaknesses, which were referred to as "areas for business improvement." These were mainly focused on improving operational systems, particularly with regard to IT and client management systems and notably in the transport and business and financial service sectors. Two themes emerging from this exploration of business weaknesses are the importance of recruitment and training of key skilled staff and management to future business development and concerns about sales and marketing and developing new markets. Perceived weaknesses were mentioned across the range of MSB performers with, if anything, more emphasis on improvements being displayed amongst the better performers.
A considerably lower proportion of family owned MSBs (32 per cent) exhibited perceived weaknesses compared to their counterparts (63 per cent) and it was businesses with sales turnover of between £50-99 million that had the highest proportion mentioning weaknesses (63 per cent) compared to one third of their smaller and larger counterparts.
5.4 Management Systems and Teams
More than four fifths (85 per cent) of surveyed MSBs are using management systems, the exceptions being the smaller scale, lower volume, people based services for high net worth customers. The main systems mentioned were: financial systems (11 cases) which particularly related to MSBs with external finance, such as publicly limited companies which had specific duties to report regularly to shareholders; key performance indicators (9 cases) and quality management systems (6 cases) for manufacturing and process driven businesses; and ISO (5 cases of International Organizational Standards) for MSBs with complex or hazardous operations, and overseas trading (e.g. transport sector). There were also various mentions of health and safety (3 cases), logistics (2 cases), human resources (2 cases) and profit related pay systems (3 cases).
Overall, there was a view that management systems form an important part of these businesses and that quality assurance and efficiency is vital to their reputations. A number of respondents specifically mentioned recent or planned improvements, particularly in the area of IT systems, which could improve customer communications and integrate with management information systems.
The majority of MSBs (60 per cent) appear to have well established management teams with a range of industry experience and suitable paper qualifications (e.g. management and vocational sector training accreditation). Respondents were particularly keen to impress that "industry experience has enabled us to pull through difficult times" and that management teams have an appropriate range of skills including strategic, financial, sales and marketing, production and service operations roles. Indeed, some respondents also enthused as to how they successfully introduced new, younger managers, who had injected a new vitality into the business:
"A strength is the young and diverse management structure. We have taken on young graduates in recent years who have really helped the company to be more innovative in manufacturing processes and also product innovation. We have a good blend of experienced business managers, industry knowledge and youthful innovation."
Subsidiary MSBs appear to be particularly strong in terms of staff skills, strategic development, and product/service development compared to other MSBs, reflecting their ability to be able to draw upon a greater range of internal resources and expertise.
Two fifths of MSBs revealed a need to improve their management capabilities, with five of the fourteen cases relating to MSBs where the management has been dissatisfied with the recent business performance. Four cases related to management training requirements for existing staff, either to improve the performance of existing managers, or to train new managers from within the company with a view to succession planning. IT management skills were mentioned in four cases and it was noted that recruiting appropriately skilled IT managers who could take the business forward is currently very difficult within the UK and EU, as there is a perceived skills shortage of top level people in this field. Other key management skills required included strategic management to assist a contract cleaning company to reposition themselves in an increasingly competitive market, a marketing manager for an art gallery, an export manager for a manufacturer and an engineering manager for a cutting edge IT manufacturer. The latter position had proven difficult to
recruit for because "the business is based in the North of England, rather than the more favoured locations in Cambridge, London and the South East of England."
An emerging theme is the emphasis on marketing and customer contact. One underperforming wholesaler demonstrated how even with a diverse management team, the loss of key management expertise had highlighted the importance of management gaining greater market understanding and customer focus:
"The management structure of the company has been deficient in recent years following the retirement of two NEDs. There is a CEO, four senior managers, plus a team of specialist managers - e.g. HR, Finance etc. - and one NED with excellent knowledge of the market. However, we feel we lack an external focus and would benefit from better understanding of customers and exploring ways in which we can work more closely with them. The company is very strong technically, but less strong on the customer focus."
The middle sized MSBs (£50-99 million sales turnover) appear most active in planning management changes over the next year (55 per cent), compared to only a third of their larger and smaller counterparts, whilst family owned MSBs exhibit only a slightly higher proportion planning management improvements (44 per cent) compared to their counterparts (37 per cent).
Interestingly, although MSBs with NEDs appear to be better growth performers, they also have a higher proportional response stating that they are dissatisfied with business performance in the past three years (47 per cent compared to 33 per cent of their counterparts), but are less inclined to require improvements in their managerial competences (35 per cent compared to 44 per cent). This may be indicative of the high performance demands of the MSBs with NEDs, rather than any lack of management competence.
5.5 Barriers and constraints
Table 5.2 presents the range of responses to barriers and constraints faced by the surveyed MSBs over the last three years and predicted for the next year or so. Nearly half of the MSBs (45 per cent) did not identify any internal barriers or constraints to the growth and development of their business in the last three years, whilst only four MSBs (11 per cent) did not face any external constraints.
The most frequently mentioned internal constraints faced during the past three years were management capacity, skills and capabilities (20 per cent) and operations systems, often relating to IT issues (20 per cent) and these were the two main priority constraints faced. Staff skills in relation to training and retaining key staff was also mentioned as a constraint by one in seven MSBs.
The most frequently mentioned external constraints faced during the past three years were market uncertainties (43 per cent), followed by regulatory issues (37 per cent), staff recruitment (26 per cent) and access to finance (17 per cent), with market uncertainties (40 per cent) and access to finance (17 per cent) receiving the most priority responses. Market uncertainties ranged from the concerns of exporters about the sustainability of
export markets and currency exchange rates to sector specific issues around increased competition and reduced demand, notably due to the "credit squeeze." Regulatory issues frequently related to there being "too much red tape, which government should remove as quickly as possible" and employment law which was viewed as a major stumbling block to recruitment in some firms, particularly around issues such as "at tribunals the balance is currently in favour of employees over employers", maternity rights which "may favour male recruitment'" and "cost industry a huge amount of money in locum cover" , and concerns over "the settings of minimum or living wage hourly rates." Generally, businesses were in favour of trade regulations and health and safety, as these "protect the integrity of the industry and prevent rogue traders entering the market."
Table 5.2: Barriers and Constraints to Growth over the last 3 years and near future
| | Last 3 years | | | | Future | |
|---|---|---|---|---|---|---|
| Barrier | Internal | | Priority | | Internal | |
| | no. | % | no. | % | no. | % |
| Management Capacity | 7 | 20 | 5 | 14 | 3 | 9 |
| Cash flow | 3 | 9 | 3 | 9 | 3 | 9 |
| Staff skills/retention | 5 | 14 | 2 | 5 | 2 | 5 |
| Product/service innovation | 4 | 11 | 1 | 3 | 0 | n/a |
| Export knowledge | 2 | 5 | 0 | n/a | 1 | 3 |
| Operations/systems/IT | 7 | 20 | 6 | 17 | 4 | 11 |
| Equipment | 2 | 5 | 0 | n/a | 0 | n/a |
| Premises | 1 | 3 | 1 | 3 | 1 | 3 |
| | External | | Priority | | External | |
| Sourcing finance | 6 | 17 | 6 | 17 | 5 | 14 |
| Acquisitions | 4 | 11 | 1 | 3 | 1 | 3 |
| Recruiting key staff | 9 | 26 | 4 | 11 | 1 | 3 |
| Market uncertainties | 15 | 43 | 14 | 40 | 12 | 34 |
| Increasing competition | 4 | 11 | 1 | 3 | 1 | 3 |
| Export contacts | 2 | 5 | 1 | 3 | 1 | 3 |
| Regulatory issues | 13 | 37 | 4 | 11 | 9 | 26 |
| Taxes | 3 | 9 | 1 | 3 | 2 | 5 |
| Overhead input costs | 1 | 3 | 1 | 3 | 2 | 5 |
Note: multiple responses for all constraints and main priorities were provided
Regulatory issues mainly centred on ensuring that the amount of restrictions on businesses, notably around employment law, are kept to a minimum, as the manager from an electronics business stated:
"A key is for the UK government to intervene as little as possible and ensure that the UK is a good place to do business."
There are also concerns that access to external finance, notably from banks, will become more difficult and one respondent made a potentially important observation that access to finance is being stymied by the operating practices of credit agencies, who "rely on end of year accounts, rather than up to date business performance, which can be improving or worsening and which can act against businesses experiencing an up turn in trade and therefore hold back the economic recovery."
6. GOVERNMENT POLICY
6.1 Introduction
This section examines MSB managers' comments relating to the ways in which UK government policy can facilitate the growth of their businesses.
6.2 Policies Mentioned and Prioritised
Table 6.1 shows the range of government policies that were mentioned and prioritised by MSB managers as areas for improvement which could facilitate their business growth. The most frequently mentioned and prioritised areas for government policy improvements were trade regulations, employment law and access to finance.
More than two fifths (43 per cent) mentioned trade regulations and 'red tape' and this was also the most frequently mentioned priority for policy improvement. This mainly referred to industry specific issues such as financial service laws, EU agricultural subsidies and export laws. Key specific issues included: the need to reduce financial service regulations which are increasing the cost of such services to the consumer; the potential increase in car insurance due to the EU Gender Directive; complaints about export license costs and EU trade off-set rules; and concerns over the new bribery act legislation which will prevent trading in parts of Africa. Generally, it was felt that "The UK government should reduce red tape as much as possible in order to make the UK a good place to do business." Two MSBs linked to the oil exploration industry in the North Sea wanted to see reduced taxation levels on oil companies as recent increases were beginning to have an adverse effect on the demand for their services.
Employment law was mentioned by more than one quarter of managers and was a priority concern for one fifth. Various issues were raised, which generally related to the current balance being too much in favour of employees, but also more specifically included the cost to industry of maternity leave and concerns over the potential impacts of changes to the retirement age and living wage/minimum wage settings. There was an acknowledgement that employment law is controlled by the EU, but that: "the UK government should act strongly to curb the worst excesses of EU legislation."
Although access to finance has not been a major concern for the surveyed MSBs over the past three years, it was mentioned by almost a quarter of managers as an area which could be improved and was prioritised by one in six managers. The main concern was for improved access to bank finance, and one respondent specifically questioned the role of credit reference agencies noting that they use end of year accounting data rather than up to date information describing this as "a time bomb which will hold back the recovery." Two managers also prioritised grant finance as being vital to R&D and manufacturing development.
Table 6.1: Types of Government Policy Mentioned and Prioritised
| Policy Type | Mentioned | | |
|---|---|---|---|
| | No | % | No |
| Trade Regulations | 15 | 43 | 10 |
| Employment Law | 9 | 26 | 7 |
| Access to Finance | 8 | 23 | 6 |
| Macro Policy | 6 | 17 | 1 |
| Public Procurement | 5 | 14 | 4 |
| Financial Regulations | 3 | 9 | 3 |
| Nothing | 4 | 11 | 4 |
Macroeconomic policy was mentioned by one in six managers and typically referred to issues such as exchange rates and VAT, but was only prioritised in one case where a company was finding the cost of importing materials prohibitively expensive.
Public procurement policy was a priority for four MSBs, notably in the construction/property sector which specifically mentioned that local authority house building programmes should be supported in order to stimulate the sector.
Almost one in ten managers mentioned financial regulations and these ranged from the impacts of Corporation Tax and National Insurance to the considerable cost to the car industry of voluntary termination rights under the Consumer Credit Act, "which leads to the industry writing-off huge sums of money."
7. CONCLUSIONS
7.1 Characteristics of MSBs
Even though this study has been based on a relatively small sample of 35 mid size businesses, they are nevertheless broadly reflective of the UK MSB population by size, sector and geographical spread. As such, they comprise a diverse range of businesses in terms of sectoral activities, business size, ownership, as well as their recent strategies and growth performance. They include highly capitalised businesses in the transportation and manufacturing sectors on the one hand, and service businesses with low fixed assets and overheads on the other.
In terms of their size, there is a noticeable difference between the 26 per cent of the sample that have sales turnover between £100-500 million and more than 500 employees on the one hand, and the 43 per cent that have a sales turnover of less than £50 million and fewer than 100 employees on the other. It could be argued that in terms of various characteristics (e.g. market position and business capabilities) many of the latter group have more in common with SMEs than with the larger MSBs.
There is a strong representation of family owned businesses amongst the surveyed MSBs (46 per cent of them), with 14 of the 16 cases also currently actively managed by the family on a day to day basis. Moreover, over 90 per cent of them were now owned and managed by second and/or subsequent generations of the founding family. Sixteen of the 35 MSB cases were subsidiaries of larger companies, with the majority of them (11 cases) being foreign owned.
The majority of MSBs were growth seeking, with 85 per cent aiming to grow in the last three years and 86 per cent aiming to grow in the next year. They were mainly aiming to grow in terms of net profits, sales turnover and market share. Growth was mainly achieved organically (74 per cent of cases), although a significant proportion (31 per cent) also grew to some extent through acquisitions. Future growth intentions had a similar pattern.
7.2 Growth Performance
Actual growth performance did not necessarily measure up to these growth ambitions over the last three years. Thirteen MSBs (37 per cent) grew on all three growth measures i.e. sales turnover, net profits, and employment, whereas eight (23 per cent) declined on all three. The rest generally had increasing or stable sales turnover but decreasing net profits and/or employment.
Two thirds (66 per cent) achieved an increase in sales turnover, whilst more than a quarter (28 per cent) experienced a decrease. Almost half (46 per cent) achieved increased net profit, whilst more than one third (37 per cent) experienced a decline. And half (49 per cent) increased employment whilst two fifths reduced employment.
Similar proportions predicted increases in the next year. Whilst only one in six predicted declining sales turnover in the next year, two fifths predicted declining employment.
7.3 Key Findings Relating to Growth
The following summarises some of the main characteristics and factors influencing growth in the studied MSBs:
Growth is discontinuous: many of the MSBs experienced dips in sales and profits during the last three years, relating to market downturn and volatility and also project and product/service development cycles.
Sector is a key determinant of growth: MSBs in manufacturing (particularly defence related), transport and logistics and financial services performed particularly well, whilst those in construction and property management were badly affected by the economic downturn.
Exports have been a key determinant of growth: MSBs with more than half of their trade derived from exports performed comparatively well, particularly in manufacturing, defence, transport and logistics where the UK market has been flat.
Larger MSBs performed particularly well: MSBs with over £100 million sales turnover appear to be particularly robust, with few competitors, whilst many smaller MSBs appear to be more like SMEs, operating in highly competitive markets.
Access to external finance has not been an obstacle to growth: MSBs appear to have accessed a wide range of external finance, including bank loans and mortgages, trade finance for equipment and equity investment, including public bonds. Only one MSB cited access to external finance as an obstacle to growth.
In terms of the key characteristics of different performance groups:
Characteristics of Growth Achievers
The most successful growth achievers, experiencing increased sales, profits and employment, were mainly in the transport, manufacturing and financial services sectors. They were typically exporting to growing emerging markets (China, India, Latin America), or trading in favourable UK markets (e.g. insurance sector). Larger MSBs (£100-500 million sales) performed well, experiencing less competition. They were generally active investors, particularly in relation to acquisitions and equity financing.
Characteristics of Growth Aim Underachievers
Under achievers aiming for growth, but dissatisfied with performance, are mainly the smaller MSBs (sales turnover under £100 million), facing strong competition, market constraints, increasing input costs and tightening operating margins. They are in manufacturing, media and business services. Several of these MSBs were hit hard by the recession in 2009, but are now recovering, investing in improved management, operating systems and market repositioning (e.g. focusing on their markets with higher margins).
Characteristics of Poorest Performers
These MSBs were typically in the construction and property sectors and had undergone rationalisation to become leaner and re-establish profits. These businesses have typically been constrained within flat UK markets, or in sectors affected by disadvantageous global market forces (e.g. increased competition from emerging market manufacturing, increasing fuel costs). Survival orientated MSBs appear less willing to invest, due to market uncertainties.
Family owned MSBs
Family owned and operated MSBs are firmly placed within the middle tier of performers. They are generally characterised by moderate growth aspirations, steady performance and even amongst the poorer performing construction and property sectors, prudent financial management.
Subsidiary MSBs
A higher proportion of subsidiary MSBs achieved growth in sales, net profits, and employment over the last three years than did their independent counterparts (44 per cent compared to 32 per cent). They were also less likely to grow by means of acquiring other companies.
7.4 Future Concerns
Whilst the overall mood of the surveyed MSBs is optimistic and growth orientated, external market conditions are a major concern over the next 12 months for more than two fifths (43 per cent), along with regulations and particularly employment law (37 per cent) and recruitment of key skilled staff (26 per cent). Furthermore, with concerns for a market downturn, one in six prioritise access to finance as a future concern.
ANNEX
Annex Table: MSB Survey Sample and BDRC MSB Sample Characteristics
| | MSB survey |
|---|---|
| Location | % |
| London, South East, East | 54 |
| North | 14 |
| Midlands, South West | 12 |
| Scotland | 11 |
| Northern Ireland, Wales | 9 |
| Subsidiary | |
| At least 51% owned subsidiary | 46 |
| Legal status | |
| Private Limited Company | 78 |
| Public Limited Company | 19 |
| Limited Liability Partnership | 3 |
| Other | 0 |
| Employment size | |
| 1-49 employees | 6 |
| 50-250 | 40 |
| 251-1000 | 40 |
| 1000+ | 14 |
| Sales Turnover* | |
| £25-100m | 74 |
| £100-500m | 26 |
| N= | 35 |
Note: n=158 for sales turnover
© Crown copyright 2011
You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. Visit www.nationalarchives.gov.uk/doc/open-government-licence, write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected].
This publication is also available on our website at www.bis.gov.uk
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EXECUTIVE SUMMARY
The Olympic Truce:
55 DAYS OF PEACE – AND MORE – FOR DARFUR
DREAM FOR DARFUR, JULY 2008
OLYMPIC TRUCE REPORT
A Note from Dream for Darfur:
In its new report, Th e Olympic Truce: 55 Days of Peace — and More — For Darfur, Dream for Darfur urges the UN Security Council, with Olympic host China in the lead, to invoke the historic "Olympic Truce" as a diplomatic tool to address the mass atrocities in Darfur.
Th e Olympic Truce period for the Beijing Games would start on August 1 and continue until September 24, 2008. Th is time period is defi ned both by tradition and a UN resolution from 2005. During the Olympic Truce period:
Th e Sudanese government would stop aerial • and ground attacks on its own unarmed civilian population.
Aid workers would be able to gain access to the • hundreds of thousands of civilians who have been forced out of reach of food, clean water, and medical care for years because of the confl ict.
UNAMID peacekeeping forces ready to deploy • would enter Darfur, including forces from Th ailand, Nepal, Sweden and Norway. Th ese troops have been delayed by the Sudanese regime's obstruction.
A high-profi le mediator, joined by the UN and the • African Union, would ideally make progress on a just peace process.
Th e Olympic host has already shown its support for the Olympic Truce by introducing the Olympic Truce Resolution last October at the United Nations. Th e resolution was co-sponsored by 187 countries, including Sudan, and adopted by consensus. 1
Th e full report and a history of the Olympic Truce are available at www.dreamfordarfur.org/olympictruce.
In an ideal world, the Olympic Truce would be implemented globally during the Games. In anticipation of the Beijing Games, we are calling for the Olympic Truce to be invoked specifi cally for Darfur; the focus of our year-long campaign has been to urge China, as Olympic host, to use its unique infl uence with the Government of Sudan to bring protection and peace to the anguished population of the Darfur region.
WHAT IS THE OLYMPIC TRUCE?
Created in ancient Greece to provide athletes and spectators with "safe passage" to the Games, the Olympic Truce came to be associated with the call for a period of peace on the occasion of the Olympics. Th e Olympic Truce is considered the longest peace treaty in history; it lasted a millennium. 2
Th e Olympic Truce was formally revived by the International Olympic Committee (IOC) in 1992, 3 and has been utilized numerous times in the diplomatic arena for intervention in confl icts during the period of the Games. Th e new report outlines this precedent on page 7.
OLYMPIC TRUCE WIDELY ENDORSED
Since 1993, the UN has reaffi rmed the Olympic • Truce with a General Assembly resolution every two years, including in 2007, when Beijing introduced the UN Olympic Truce Resolution.
In 2000, the Olympic Truce was included in the • United Nations' Millennium Declaration. 4
Since 2000, more than 400 heads of state and • dignitaries – including the late Pope John Paul II, Presidents Nelson Mandela and Bill Clinton, Prime Minister Tony Blair, and others – have signed a statement of support for the Olympic Truce. 5
OLYMPIC ATHLETES CALL FOR OLYMPIC TRUCE IN DARFUR
While there are no offi cial guidelines governing the Olympic Truce, precedent suggests that various parties can invoke it, including the Olympic host, the United Nations, and the IOC.
In 2008, a new precedent was set: more than 100 athletes — an essential constituency in the Olympic movement — invoked the 2008 Olympic Truce for Darfur by co-signing a letter to the UN, the Olympic host, and the IOC. Th e letter is available at www.teamdarfur.org.
CHINA'S CHOICE: OLYMPIC TRUCE OR "GENOCIDE OLYMPICS"?
China's glorifi cation of itself as Olympic host is hypocritical given its complicity in the Darfur crisis. Th e government of China has for the past fi ve years been the most important supporter, economically and diplomatically, of the regime in Sudan, which is engaged in a genocidal campaign against its own citizens in the Darfur region.
Khartoum sells 70 percent of its oil to China, whose stateowned oil companies own production facilities throughout Sudan. China sells Khartoum weapons that are used against civilians in Darfur. At the UN Security Council, China has exercised its power as a permanent, veto-wielding member to advocate on behalf of Khartoum. 6
Th e government of China faces a stark choice. Beijing can deliver on its "One world, one dream" promise as Olympic host, and on its professed concern for the people of Darfur — or, Beijing can choose to be recorded in history as the host of the 2008 "Genocide Olympics."
WHAT MUST HAPPEN
To realize an Olympic Truce for Darfur, the Olympic host, joined by the other UN Security Council leaders, must demand that the Sudanese regime stop all ground and aerial assaults on civilians as of July 8, 2008, one month before the traditional Truce period. Th is will allow Khartoum — with its history of broken promises — to demonstrate its commitment to comply with the truce. It will also allow humanitarian workers to begin to access isolated areas in Darfur in a secure environment.
Invoking, and more importantly, implementing the Olympic Truce could be the show of international political will needed to bring peace and security in Darfur.
FULL REPORTS
Available at www.dreamfordarfur.org/olympictruce
Th e Olympic Truce: 55 Days of Peace — and More — • For Darfur, Dream for Darfur's full report.
A History of the Olympic Truce, • a report on the evolution of this diplomatic tool.
To support the Olympic Truce: Individuals can add their names to the letter signed by athletes calling for the 2008 Olympic Truce for Darfur. Take action at: www.teamdarfur.org/truce.
ENDNOTES
1 Offi cial Website of the Beijing 2008 Olympic Games. UN adopts Olympic Truce Resolution (2007, November 1). Retrieved June 20, 2008, from: http://multimedia.olympic.org/pdf/en_report_1250.pdf and http://en.beijing2008.cn/news/offi cial/ioc/n214187495.shtml.
2 Comment by Greek UN ambassador Adamantios Vassilakis during discussion of UN Olympic Truce resolution in at the 43rd Plenary session of the UN General Assembly, 2005. United Nations. (2005, March 11). General Assembly Urges States to Observe Olympic Truce During Upcoming Winter Games in Italy (GA/10415). Retrieved June 20, 2008: http://www.un.org/News/Press/docs/2005/ga10415.doc.htm.
3 International Olympic Committee. FACTSHEET: Olympic Truce, UPDATE – FEBRUARY 2007, 1-2. Retrieved June 16, 2008, from: http://multimedia.olympic.org/pdf/en_report_839.pdf.
4 United Nations. (2000, September 19). United Nations Millennium Declaration - 2000 (A/RES/55/2). Retrieved June 20, 2008, from: http://www.olympictruce.org/html/para_10_resolution.html.
5 Hellenic Ministry of Foreign Aff airs. (2008). Statement of World Personalities in their Individual Capacities in Support for the Olympic Truce. Retrieved June 20, 2008, from: http://old.mfa.gr/english/satelites/ olympic_truce/statement.html.
6 See Human Rights Watch. Th e United Nations and Darfur. Retrieved June 20, 2008, from: http://www.hrw.org/wr2k5/darfur/3.htm.
Copyright 2008 /Dream for Darfur / www.dreamfordarfur.org
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Screening cabbage rhizosphere as a habitat for isolation of phosphate-solubilizing bacteria
Hossein Motamedi 1,2 *, Sholeh Aalivand 1 , Hossein Najafzadeh Varzi 3 , Mohammad Mohammadi 1
1Department of Biology, Faculty of Science, Shahid Chamran University of Ahvaz, Ahvaz, Iran
3Department of Pharmacology, Faculty of Veterinary Medicine, Shahid Chamran University of Ahvaz, Ahvaz, Iran
2Biotechnology and Biological Science Research Center, Shahid Chamran University of Ahvaz, Ahvaz, Iran
*Corresponding author, E-mail: [email protected], [email protected]
Abstract
Phosphorus plays a major role in plant growth, but due to insoluble complex formation in soil, it is mainly unavailable for plants. Phosphate solubilizing bacteria dissolve phosphate and hence are regarded as biofertilizer. These bacteria are present in different habitats and screening of such habitats can introduce potent phosphate solubilizing bacteria as biologic fertilizer. The aim was finding such isolates from cabbage rhizosphere. Soil samples were enriched and screened using Pikovskaya's agar. Isolates were identified by phenotypic and genotypic methods. Their biological activities were also investigated. Four of these isolates had highest phosphate solubilization index (1.3 to 4.7) and phosphate solubilization efficiency (33.3 to 366.6). Inorganic phosphate solubilizing ability of these strains was 6.74 to 89.1 mg L –1 . The predominant organic acid found was oxalic acid for RK33 isolate. All phosphate solubilizing strains were able to fix nitrogen, while only RK24 and RK33 produced phytase. These isolates were Aeromonas sp., Proteus sp., Proteus mirabilis and Raoultella terrigena. Finally, it can be concluded that cabbage rhizosphere is a potent habitat for finding phosphate solublizing bacteria, which can be applied as biofertilizer, thus avoiding undesirable side effects of chemical fertilizers.
Key words: biofertilizer, cabbage, phosphorus, phosphate-solublizing bacteria, rhizosphere. Abbreviations: PSB, phosphate solubilizing bacteria; SE. solubilization efficiency; SI, solubilization index.
Introduction
Phosphorus is one of the major essential macronutrients limiting plant growth because of its low bioavailability in soils (Tao et al. 2008). Many biochemical and physiological activities in plants, such as photosynthesis, root system development, cell division, nitrogen fixation in legumes, resistance to plant pathogens, plant health and utilization of carbohydrate are dependent to the vital role of this element (Khan et al. 2009; Guinazuet al. 2010; Karpagam, Nagalakshmi 2014).
application (Antoun 2012). Soil salinity, accumulation of P, large losses of N, water eutrophication, accumulation of heavy metals in soils and plant system and low recovery by crops are consequences of excess and long-term application of phosphate fertilizers, which can cause environmental pollution (Tao et al. 2008; Savci 2012).
Phosphorus can be found in nature as organic and mineral forms (Kundu et al. 2009). The concentration of soluble P in soil is very low, varying from 0.001 mg L –1 in very poor soils to 1 mg L –1 in heavily fertilized soils. The forms of P that are taken up by plants from soil solution are phosphate anions (mainly H 2 PO 4 – and HPO 4 2–; Antoun 2012). Usage of phosphatic fertilizers in soil results in a significant amount of them (more than 70%) being rapidly converted into less available forms, because prior to their absorption by plant roots, they form insoluble complexes with Fe or Al in acid soils and Ca or Mg in calcareous soils (Hui et al. 2011). As a result, plants can only take up 10 to 15% of the soluble P added as fertilizers during a year of
One alternative is to increase P availability through biological approaches (Alam et al. 2002). Several bacterial species are known to be involved in mineralization and solubilization of organic and inorganic phosphorus in soil, respectively (Panhwar et al. 2012; Karpagam, Nagalakshmi 2014). Rhizospheric bacteria with phosphate solubilizing activity have been reported (Mittal et al. 2008). The main strains with this capability belong to the Pseudomonas, Mycobacterium, Micrococcus, Bacillus, Achromobacter, Erwinia, Agrobacterium, Burkholderia, Flavobacterium, Rhizobium, Mesorhizobium, Arthrobacter, Alcaligenes, Serratia, Enterobacter, Acinetobacter and Sinorhizobium genera (Fernandez et al. 2007; Guinazu et al. 2010). Various mechanisms, such as organic and inorganic acids production and secretion and phosphatase enzyme secretion, cause dissolution of mineral phosphates and hydrolysis of organic phosphates in soil (Yadav, Verma 2012). Some organic acids produced by rhizospheric phosphate solubilizing
bacteria (PSB) are citric, lactic, propionic, glycolic, oxalic, succinic, fumaric and tartaric acids (Ivanova et al. 2006). These organic acids chelate the cations (Al, Fe, Ca) bound to mineral phosphate and transform them to soluble forms through their hydroxyl and carboxyl groups, making it available for plants (Panhwar et al. 2012).
In recent years, use of phosphate solubilizing bacteria as biofertilizers for agricultural improvement has attracted the attention of researchers (Vessy 2003). Biological fertilizers containing phosphate solubilizing bacteria could help to increase the availability of soil phosphorus, increase yield of plant, minimization of harmful effects of phosphate fertilizers, reduce environmental pollution and promote sustainable agricultural development (Chen et al. 2006). Research on PSB can be a new approach to improve the absorption of phosphorus in agricultural soil. The aim of this study was to screening and characterization of potential phosphate solubilizing bacteria from cabbage rhizosphere, for use as biofertilizer.
Materials and methods
Sample collection
Rhizospheric soil samples were collected from three different cabbage fields located in Shushtar (32.0456° N, 48.8567° E), Iran. In each field three different locations were randomly selected and 100 g soil samples were harvested from surface to 30 cm depth of soil. Samples were immediately transferred to the microbiology laboratory and stored at 4 °C temperature before analysis.
Isolation of phosphate-solubilizing bacteria
Ten grams of soil from each sample was homogenized in a 250 mL Erlenmeyer flask containing 90 mL sterilized distilled water through continuous rotation at 180 rpm for 30 min (Hui et al., 2011). A tenth ml of supernatant was cultured on Pikovskaya's agar medium (Glucose 10 g; tricalcium phosphate 5 g; ammonium sulphate 0.5 g; sodium chloride 0.2 g; potassium chloride 0.2 g; magnesium sulphate 0.1 g; yeast extract 0.5 g; manganese sulphate trace; ferrous sulphate trace and agar 15 g per 1 L of distilled water; pH 7.0 ± 0.2).The medium was supplemented with cycloheximide (50 µg mL –1 ) to inhibit the growth of fungi. The plates were incubated at 28 ± 2 °C in an incubator (Fan Azma Gostar, Iran) for 24 to 48 h. A clear zone around colonies were used as a clue for the presence of phosphate solubilizing bacteria. Different PSB isolates were selected on the basis of colony morphology. These isolates were purified on fresh Pikovskaya's agar medium and stored on nutrient agar at 4 °C (Ramani 2011).
Determination of phosphate solubilization efficiency and solubilization index
The Pikovskaya's medium was modified by addition of 4.0 mL of 0.16% bromophenol blue solution (in ethanol) before sterilization and was used for determination of phosphate solubilization activity on the basis of formation of a clear zone around colonies. Phosphate solubilizing ability of each isolate was assayed by spotting 10 μL of bacterial inoculants at the center of Modified Pikovskaya's agar. Growth and solubilization diameter were measured after incubation at 30 °C for seven days. Solubilization efficiency (SE) and solubilization index (SI) were calculated using the following formulas (Qureshi et al. 2012):
PSE (%) = halo zone diameter / colony diameter × 100; SI = (colony diameter + halo zone diameter) / colony diameter.
Determination of phosphate solubilizing activity
The phosphate solubilizing activity of PSB strains was quantitatively evaluated by using 25 mL of Pikovskaya's broth medium and 0.25 mL of bacterial inoculant (approximately 3 to 5 × 10 8 CFU mL –1 ) in a 100 mL Erlenmeyer's flask. Uninoculated medium served as a control and all flasks were incubated on a shaker (GfL 3021, Germany) for 5 days at 150 rpm and 30 °C (Hui et al. 2011). Then the cultures were centrifuged at 11000 rpm for 10 min and the amount of released soluble phosphate in the supernatant was determined by the ascorbic acid method. In quantitative assay, the reaction mixture contained 1 mL of supernatant plus 9 mL of distilled water and 2.5 mL color reagent. The color reagent was freshly prepared by mixing 50 mL of antimonyl potassium tartrate solution (0.036 g antimony potassium tartrate [K(SbO)C 4 H 4 O 6 × 1/2 H 2 O] in 125 mL of 5N H 2 SO 4 ) with 12.5 mL ammonium molybdate solution (1.5 g ammonium molybdate [(NH 4 ) 6 Mo 7 × 4H 2 O] plus 31.5 mL distilled water). Both solutions were mixed and stirred while slowly adding 0.264 g ascorbic acid, and volume was adjusted to 100 mL. The optical density of developed blue color after 15 min was measured at 880 nm by a spectrophotometer (Optimize, Germany) and the concentration of available P (mg kg –1 ) was calculated (Watanabe, Olsen 1965; Alam et al. 2002). The change in pH was measured (AZ, China) in supernatant after 5 days of incubation.
Determination of organic acid production
PSB strains were cultured in Pikovskaya's broth medium and incubated on a shaker at 150 rpm for 5 days at 30 °C. Then cultures were centrifuged (11000 rpm, 10 min) and supernatant of each culture was monitored for oxalic acid, citric acid, malic acid and tartaric acid by thin-layer chromatography. Ten μL of samples were injected in the bottom of silica gel plates and developed with methanolammonium hydroxide (1:4) as the mobile phase. The plates were dried and then covered with 0.3% bromocresol green in solvent (water-methanol 4:1, with 8 drops of 30% NaOH). Presence of organic acids in samples was confirmed through visualizing the yellow spots on a green background. The detection limit of the method was 10 μg mL –1 for all analyzed acids.
Nitrogen fixation assay
Nitrogen fixation ability of isolates were examined using Dobereiner meduim containing bromothymol blue as an indicator. Each isolate was inoculated on this medium and incubated at 37 °C for 24 to 48 h. Yellow color change was regarded as qualitative evidence for atmospheric nitrogen fixation (Dobereiner 1972; Sgroy 2009).
Phytase production assay
Four PSB isolates were inoculated into the phytase screening medium (1.5% glucose, 0.1% sodium phytate, 0.2% NH 4 NO 3 , 0.05% KCl, 0.05% MgSO 4 × 7H 2 O, 0.03% MnSO 4 , 0.03% FeSO 4 × 7H 2 O and 2% agar, pH 7.5) and incubated at 30 °C and 150 rpm for three days. The supernatant (15 min at 6000 rpm) was subjected to phytase activity assay (Mittal et al. 2011). In qualitative enzyme assay, the reaction mixture contained 2 mL of supernatant plus 4 mL of substrate solution (0.84% solution of sodium phytate in buffer solution, pH 5.5). The buffer solution was prepared by dissolving 0.18 g acetic acid, 3 g sodium acetate × 3 H 2 O, 0.15 g CaCl 2 × 2H 2 O in 100 mL distilled water with adjustment of pH at 5.5 with pure acetic acid. The reaction was conducted at 37 °C for 65 min and then stopped by 4 mL of freshly prepared color reagent. The color reagent was prepared by mixing 25 mL of ammonium molybdate solution (10 g ammonium molybdate × 4H 2 O and 1 mL NH 3 (25%) in 100 mL distilled water) with 25 mL ammonium vanadate solution (0.235 g ammonium vanadate, 40 mL distilled water at 60 °C, with slow addition of 2 mL of nitric acid before dilution to 100 mL) and stirring while slowly adding 16.5 mL nitric acid (65%). Then the mixture cooled to room temperature and adjusted to 100 mL. The color change following phytase activity was measured at 415 nm. In blank reaction, the color reagent was added prior to the enzyme sample. One unit of enzyme was defined as the amount of enzyme that can release 1 μmol of inorganic phosphate in 1 min (Popanich et al. 2003). A standard graph was plotted using potassium dihydrogen phosphate with working concentration ranging from 0 to 600 μM.
Identification of isolates
The phosphate-solubilizing bacteria were identified both by conventional biochemical tests described in Bergey's Manual of Systematic Bacteriology and also by 16S rRNA sequencing as follows. Genomic DNA was extracted and purified using a DNA extraction kit (Cinna Gen, Iran) and the 16S rRNA sequence was amplified using FD1 (5'-CCGAATTCGTCGACAACAGAGTTTGATCCTGGCTCAG-3') and RP1 (5'-CCCGGGATCCAAGCTTACGGTTACCTTGTTACGACTT-3') primer (Weisburg et al. 1991). The reaction was performed in 25 μL PCR reaction mixture (0.2 μM of each primer, 0.2 mM dNTPs, 3 mM MgCl 2 , 2.5 μL PCR buffer, 1 U Taq DNA polymerase and 2 μL of template DNA in a thermal cycler (Bio-Radicycler, USA) with the following program: initial denaturation at (94 °C, 5 min),
30 cycles of denaturation (94 °C, 60 s), annealing (58.1 °C, 40 s) and extension (72 °C, 150 s) and a final extension at 72 °C for 10 min (Weisburg et al. 1991). The amplification was confirmed in agarose gel electrophoresis (1% agarose, 2 μL safe stain) and sequenced (Macrogen, Korea). The obtained sequences were edited by Bioedit (version 18.104.22.168) and analyzed by the BLAST algorithm of NCBI. The phylogenetic tree was constructed by the neighbor-joining method using the MEGA version 4 through comparison with other sequences in GenBank.
Optimization of growth condition
Effect of pH (5.5, 7, 8.5) and temperature (25, 30, 35, 40 ºC) on growth condition of the RK33 strain were examined. Growth curve of this isolate was obtained in different pH and temperatures as triplicates. Erlenmeyer flasks (100 mL) containing 40 mL of the nutrient broth medium were inoculated with a 1% (v/v) inoculum. Non-inoculated medium served as a control. The flasks were incubated (150 rpm, 60 h) at various temperatures (25, 30, 35, 40 °C). The optical density of the bacterial culture was measured at 580 nm every 2 h (Bio-Rad, USA). After selection of the best growth temperature, this isolate was cultured at the different pH values, i.e, 5.5, 7 and 8.5.
Optimization of phosphate solubilizing condition
Effect of various parameters, including temperature, pH, various nitrogen sources and various carbon sources on phosphate solubilizing activity was examined. All experiments were performed as triplicates. The Pikovskaya's broth medium was inoculated with inoculum (1%, v/v) and incubated at150 rpm for 5 days at various temperatures (25, 30, 35, 40 °C). Non-inoculated medium served as a control. Phosphate solubilization activity was assessed by ascorbic acid method. Then the pH of Pikovskaya's broth medium was adjusted to 5.5, 7, 8.5 using NaOH (4N) or HCl (1N) and inoculated with RK33 isolate. Phosphate solubilization activity was evaluated by ascorbic acid method following incubation at 150 rpm for 5 days and the optimum temperature obtained from the previous step.
For finding the effect of various carbon sources on phosphate solubilizing ability of RK33, different carbon sources including glucose, fructose and sucrose were used in Pikovskaya's broth medium. Temperature and pH were selected based on the obtained results; the isolate was inoculated and incubated at 150 rpm for 5 days. Phosphate solubilizing activity was studied as previously mentioned. Similarly, the effect on nitrogen source, including (NH 4 ) 2 SO 4 -yeast extract, urea and NaNO 3 was investigated. Finally, the effect of incubation period on phosphate solubilizing activity was surveyed by incubation of the inoculated optimized culture medium at 150 rpm for 3, 5 and 7 days and the activity was measured by ascorbic acid method.
Table 1. Phosphate solubilizing efficiency and solubilizing Index of isolates at 7th day of incubation)
| Isolates | Colony diameter (mm) | Halozone diameter (mm) | Solubilization index | Solubilization efficiency |
|---|---|---|---|---|
| RK11 | 8 | 12 | 1.50 | 50.0 |
| RK12 6 8 1.33 33.3 | | | | |
| RK13 | 4 | 6 | 1.50 | 50.0 |
| RK14 7 11 1.57 57.1 | | | | |
| RK15 | 7 | 13 | 1.85 | 85.7 |
| RK21 4 8 2.00 100.0 | | | | |
| RK23 | 4 | 9 | 2.25 | 125.0 |
| RK24 3 14 4.66 366.6 | | | | |
| RK25 | 6 | 12 | 2.00 | 100.0 |
| RK26 9 13 1.40 44.4 | | | | |
| RK31 | 6 | 11 | 1.83 | 83.3 |
| RK32 6 11 1.83 83.3 | | | | |
| RK33 | 4 | 12 | 3.00 | 200.0 |
Results
Isolation and screening of phosphate solubilizing bacteria The soil samples from cabbage rhizosphere were screened for the presence of phosphate solubilizing bacteria on Pikovskaya's agar medium. As a result, 14 phosphate solubilizing strains were identified based on clear zone formation around colonies on PVK medium. The results of phosphate solubilizing efficiency (PSE) and phosphate solubilizing index (SI) of these isolates at 7 th day are presented in Table 1. Among these isolates, four isolates had highest SI, ranging from 1.3 to 4.7 and PSE ranged from 33.3 to 366.6 which were selected for further studies. Among these four potent isolates, the strain RK24 had higher phosphate solubilizing efficiency and index (Table 1). Modified Pikovskaya's agar containing bromophenol blue was used, as using this method a yellow color change can be obviously found as a result of acid production, making detection of a halo zone easier.
This isolate was selected for further studies. Increase in the amount of soluble phosphate with decrease in the final pH of broth media was observed; this decrease in the pH of the culture was associated with the production of organic acids due to phosphate solubilizing activity. Organic acid was not detected in all cultures, perhaps due to the limitation of the methodology we used. The predominant organic acid found was oxalic acid in the supernatant of RK33. Among four strains, only RK24 and RK33 strains were found positive for phytase production. All PSB strains were able to fix nitrogen (Table 2).
Identification of phosphate solubilizing bacteria
Phosphate solubilizing activity of the strains RK33, RK24, RK21 and RK25 were assayed in broth culture. The results demonstrated that the amounts of soluble P in the supernatants were in the range of 6.74 to 89.1 mg L –1 after five days of incubation (Table 2). In this experiment, RK33 released the highest amount of soluble phosphate.
Phenotypic identification showed RK21, RK24, RK25 and RK33 strains as Aeromonas sp., Proteus sp., Proteus mirabilis and Raoultella terrigenia, respectively. 16S rRNA sequencing of the RK33 strain showed 98% homology with Raoultella terrigenia. Fig. 1 presents the phylogenetic tree anaylsis.
In optimization of growth condition of RK33 isolate, it was found that while RK33 isolate was able to grow at 25 and 35 °C, 30 °C was the optimum temperature for its growth (Fig. 2). Furthermore, this isolate was able to grow in acidic, neutral and alkaline pH, but maximum growth yield was obtained at neutral pH (Fig. 3).
Table 2. Biological activity of selected PSB strains. Ox, oxalic acid; Ci, citric acid; ND, not detected
Effect of various parameters (temperature, pH, various nitrogen sources and various carbon sources) on phosphate solubilizing activity of RK33 was studied. Optimized conditions for phosphate solubilization for by this isolate were 30 °C, pH 5.5, glucose, yeast extract-(NH 4 ) 2 SO 4 and 5 days incubation. The results are shown in Figs. 4, 5, 6, 7 and 8.
et al. 2011) and biological remediation of lead (Park et al. 2010) and cadmium (Jeong et al. 2012) polluted soil has been shown.
Discussion
Several soil bacteria associated with plant rhizosphere, are useful for plants. Some of them have the ability to dissolve inorganic phosphate and hence have potential use as biofertilizers in agriculture. Phosphate solubilizing bacteria have different mechanisms of action and also wide diversity and can be used in management of sustainable agricultural systems (Zaidi et al. 2009) Application of phosphate solubilizing bacteria in promoting soil fertility (Shokri et al. 2012), enhancing biological nitrogen fixation (Mahantesh
Apart from phosphate solubilizing abilities, some of these bacteria can have a direct consequence on plant growth by several different mechanisms, such as enhancing nitrogen fixation, production of phytohormones (indole3-acetic acid, gibberellin), production of phosphatase and phytase enzymes and enhancing the availability of other trace elements etc. (Gyaneshwar et al. 2002; Walpola, Yoon 2012; Karpagam, Nagalakshmi 2014). For example, in the study of Barea et al. (1976), 20 isolates of phosphatedissolving bacteria of tested 50 isolates synthesized three types of plant hormones, including indole-3-acetic acid, gibberellins and cytokinins, while 43 isolates produced only indole-3-acetic acid. Gibberellins were produced by 29 isolates and 45 of bacterial cultures produced cytokininlike substances (Barea et al. 1976). Thus, intensive screening of phosphate solubilizing bacteria with genetic potential for
Fig. 4. Phosphate solubilization activity of RK33 at different temperatures.
Fig. 5. Phosphate solubilization activity of RK33 at 30 ˚C and different pH.
increased resistance to extreme salt, pH and temperature in arid and semi-arid area, can help to choose the best bacteria for use in production of biological fertilizers (Mehta et al. 2001; Ramani 2011). Several studies have reported the isolation of phosphate solubilizing bacteria from rhizospheric soil (Barea et al. 1976; Prasanna et al. 2011; Ghosh et al. 2012; Ambrosini et al. 2012). In the present study, cabbage rhizosphere was selected for isolation of phosphate solubilizing bacteria. This habitat was chosen due to greater possibility of occurrence of phosphate solubilizing bacteria. Panhwar et al. (2012) found considerably higher number of PSB population in the rhizosphere in comparison with non rhizospheric or bulk soil. Barea et al. (1976) also screened several rhizospheric bacteria for phosphate solubilizing potential.
PSB strains are commonly screened using Pikovskaya's agar, in which insoluble tricalcium phosphate is used as the sole source of phosphorus. The strains that can produce a clear zone around the colony are selected as having potent phosphate solubilizing ability (Chung et al. 2005). However, the reliability of this halo-based technique is questioned, as many strains that did not produce visible halo zone on agar plates could solubilize insoluble inorganic phosphate in liquid medium (Nautiyal 1999; Fernandez et al. 2007). For example, in this study, RK25 isolate did not produce clear halo zone on agar plates, but had higher phosphate solubilizing activity in the broth medium. Similar results were reported by Hui et al. (2011) and Hariprasad and Niranjana (2009). In this study, 14 bacterial isolates produced a halo zone around colonies; of these the four best isolates were selected based on the phosphate solubilizing index and efficiency. Results showed that among these four potent isolates, the RK24 strain was the most efficient phosphate solubilizer on PVK medium with SI 4.66 and PSE 366.6. These results are interesting in comparison with results found by Qureshi et al. (2012) and Ghosh et al. (2012). Modified Pikovskaya's agar containing bromophenol blue as indicator was used, which can improve the clarity and visibility of the yellow-colored halo around colonies. Yellow colored halos are observed around the colonies in response
to the pH reduction due to releasing organic acid. This result is in accordance with Nautiyal (1999); Rodriguez et al. (1999) and Mehta et al. (2001).
RK33, RK24, RK21 and RK25 strains were selected for quantitative assay in the PVK broth medium; of these RK33 had higher P solubilizing ability with 89.1 mg L –1 . The phosphate solubilizing activity of the strains isolated from rhizosphere was examined by Chung et al. (2005), Prasanna et al. (2011) and Sarkaret al. (2012). In the present study, a linear relationship was observed between the pH and the released P by PSB strains (Table 2). This indicates that increase of released phosphorous in the broth medium (6.7 to 89.1 mg L –1 ) was parallel to a considerable reduction in pH (from 6.8 – 7.0 to 4.8 – 6.4) after 5 days. This was reported earlier by Chen et al. (2006), Sharma et al. (2011), Xiang et al. (2011) and Gosh et al. (2012). However, Tao et al. (2008) reported that there was no correlation between the pH of culture medium and the P mineralization by the organic phosphorus mineralizing bacteria, suggesting that mineralization of organic phosphorus may have different mechanisms of phosphorus solubilizing. Decrease of the pH owing to the production of organic acids like gluconic, fumaric, lactic, isovaleric, isobutyric, oxalic and citric acid was reported by several early researchers (Song et al. 2008; Ahmed, Shahab 2011; Walpola, Yoon 2012). Those bacteria that produced halo zones around colonies in PVK medium were able to produce organic acids in broth culture. This result is in accordance with Ogut et al. (2010). This is also in agreement with Mehta et al. (2001), Chen et al. (2006), Ivanova et al. (2006), Ponmurugan and Gopi (2012), and Karpagam and Nagalakshmi (2014) who recorded production of organic acids like butyric, malonic, succinic, malic, gluconic, acetic, glucenic, tartaric, gluconic, maleic, propionic, adipic and 2-ketogluconic acids by PSB in broth culture. Studies related to the production of organic acids have shown that citric and oxalic acids were two major organic acids produced by PSB (Alam et al. 2002). In this study, the presence of oxalic acid, citric acid, malic acid and tartaric acid was investigated in the supernatant using thin layer chromatography technique. Production of citric and oxalic acid by RK33 and RK24 strains was confirmed and estimated to be about 10 mg mL –1 . Hariprasad and Niranjana (2009) examined organic acid production by phosphate solubilizing bacteria isolated using thin layer chromatography and reported variety of organic acids such as citric acid, oxalic acid, lactic acid and gluconic acid. Ogut et al. (2010) detected gluconic acid from Acinetobacter PSB strains. They reported that there was a linear regression between soluble P and gluconic acid concentration in the bacterial culture, and also that production of gluconic acid directly affected phosphate solubilization. Chen et al. (2006) reported production of citric acid, lactic acid, gluconic acid, succinic acid and propionic acid by PSB isolated from subtropical soil. Also, many of these isolates showed presence of multiple organic acids. Contradiction or similarities may be explained on the basis that type and quantity of produced acid depends on the PSB strain, media composition, growth conditions and several other factors (Alam et al. 2002).
Phosphate-solubilizing bacterial strains isolated were identified by biochemical tests; the strains RK21, RK24, RK25 and RK33 were identified as Aeromonas sp., Proteus sp., Proteus mirabilis and Raoultella terrigenia, respectively. Diversity of these bacterial genera showed that many bacteria have the phosphate-solubilizing ability and it is not exclusive to selective genera, suggesting the importance of preliminary screening for a wide range of bacteria to characterize their potential of phosphate-solubilizing activity (Gosh et al. 2012). Enterobacter sp., Burkholderia sp. and Bradyrhizobium sp. (Fernandez et al. 2007), Pseudomonas sp. (Poonguzhali et al. 2008), Bacillus sp. and Burkholderia sp. (Oliveira 2009), Micrococcus, Serratia, Bacillus and Klebsiella (Prasanna 2011), Pseudomonas, Serratia, Enterobacter and Rhizobium (Ambrosini 2012) and Bacillus sp. (Zhang 2012; Xiang 2011), have been reported as the potential PSB. As the RK33 strain showed the maximum phosphate solubilizing activity, it was subjected to molecular taxonomic studies for identification of this species. The 16S rRNA sequence of RK33 strain exhibited 98% similarity to Raoultella terrigena. To our knowledge, this is the first time that isolation of Raoultella terrigena from cabbage rhizosphere has been reported in
In this study, the indigenous strains isolated from cabbage rhizosphere were able to produce phytase enzymes and fix nitrogen, which are known to have beneficial effects on P solubilization as well as promotion of plant growth (Ponmurugan, Gopi 2006). Production of phytase and N 2 fixation ability of PSB was reported by Hariprasad et al. (2009) and Panhwar et al. (2012). For the RK33 isolate 30 °C temperature was the optimum temperature for growth and phosphate solubilization. The results showed that with increasing temperature, reduced solubilizing activity occur. Different temperatures have been reported by earlier workers for solubilization, most of them in the range 30 to 40 °C as optimum temperatures (Karpagam, Nagalakshmi 2014). Results showed that the RK33 isolate was able to solubilize P in the pH range from 5.5, 7 and 8.5. Maximum P solubilization and growth was recorded at pH 5.5 and 7, respectively. When various carbon sources were used, it was found that PVK with glucose followed by sucrose gave maximum P solubilization. Maheswar and Sathiyavani (2012) found that incorporation of glucose followed by lactose increased solubilization of phosphate. Examining the effect of various nitrogen sources on phosphate solubilization revealed that (NH 4 ) 2 SO 4 -yeast extract had maximum P solubilization followed by urea. NaNO 3 addition resulted in much less P solubilization. Sagervanshi et al. (2012) revealed that (NH 4 ) 2 SO 4 showed maximum P solubilization followed by casein. Urea and NaNO 3 resulted in much less P solubilization.
Iran. Finally, based on these results it can be concluded that these isolates are potent phosphate solubilizing agents that can be applied as bio-fertilizer in agriculture and also for industrial purposes such as extracting phosphorus from phosphate rock.
Acknowledgements
The authors wish to thank vice chancellor of research of Shahid Chamran University of Ahvaz for providing research grant (Grant No. 874095) and also MSc. thesis grant.
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DOCUMENTS TO BRING TO THE APPLICATION FAIR
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All Applications MUST Be Complete Before We Will Enroll Any Student.
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Well-being Institute
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WORKSHOPS 2017 DAY ONE "Engaging Motivating Inspiring... Looking forward to 2017 already....Thank You" Christy Nash, Positive Schools Delegate
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Determining the Level of Test Anxiety and Some of Its Contributing Factors among the Freshmen Students
Hamid Reza Miri 1 , Afsoon Piroozan 2 , Ali akbar Hesam 3, 4 , Nadereh Naderi 5,6 , Parvin Rezaei 7*
1- Trauma and emergency medicine Research center, Hormozgan University of medical Sciences, Bandar Abbas, Iran.
2-
School of Medicine, Hormozgan University of Medical Sciences, Bandar Abbas, Iran.
3- MSc student in clinical psychology, Department of clinical psychology, Science and Research Branch, Islamic Azad University, Bandar Abbas, Iran.
4- Student Research Committee, Department of Research and Technology, Hormozgan University of Medical Sciences, Bandar-e-Abbas, Iran.
5-
Immunology Department, Hormozgan University of Medical Sciences , Bandar Abbas, Iran.
6-
7-
Molecular Medicine Research Center,Hormozgan University of Medical Sciences, Bandar Abbas, Iran.
Faculty of education development center of Hormozgan University of Medical Sciences, Bandar-e-Abbas,
Iran.
E-mail: [email protected]
Abstract: Test anxiety is considered one of the most important factors in every educational system that affects educational performance and achievement. Due to its significant role in learning, this descriptive cross-sectional study was conducted with an intention to determine the level of test anxiety and its influencing factors among the freshmen students at Hormozgan University of Medical Sciences. Therefore, 310 freshmen students were selected randomly who filled out a questionnaire about their demographic information in the first section and Sarason Scale in the second section. The data was analyzed using SPSS program version 16 and statistical tests such as Chi-square, Mann-Whitney, Kruscal Wallis and Spearman correlation coefficient. The results detected that the mean score for test anxiety was 13± 6.06, representing that 47.85 of students suffered from low level of test anxiety, 40.3 from moderate level and 11.95 from severe level. The findings also indicated that the level of test anxiety had a significant correlation with sex and age, but no significant relationship with marital status, parents' job and parents' level of education. Considering all that, by effective planning and psychological interventions, negative effects of test anxiety on educational performance could be eliminated.
[Hamid Reza Miri , Afsoon Piroozan, Ali akbar Hesam, Nadereh Naderi, Parvin Rezaei. Determining the Level of Test Anxiety and Some of Its Contributing Factors among the Freshmen Students. Life Sci J 2013; 10(9s):149155] (ISSN: 1097-8135). http:www.lifesciencesite.com. 17
Key words Test anxiety, freshmen students, medical students
Introduction
Anxiety and its related domains has been one of the widest fields of research over the past decades (Cheraghiyan et al, 2008). Anxiety is not an uncommon term. It includes a set of emotions such as fear which has always accompanied human beings and is considered the basis for most of the psychological problems (Tashakor, 1998). Almost everyone has confronted such a feeling throughout the course of life. It is not exaggerated if it is stated that every individual with any culture or at any age has experienced fear (Heravi et al, 2004). Learners at different educational systems experience great ranges of anxiety. Their anxiety is sometimes so excessive that disturbs their educational and daily performances. One of the most significant types of anxiety is "test anxiety" which has embraced great deals of research in the field of education (Oladipo et al, 2013; Yazdani et al, 2011; Trifoni et al, 2011; Hatami et al, 2010; Moadeli et al, 2005; Omidi et al, 2005). Unpleasant emotions, experiences or concerns when the ability to perform a task is evaluated, results in the reduction of coping abilities in different situations such as test taking and accordingly leads to test anxiety (Cheraghiyan et al, 2008). Test anxiety is considered a preoccupation of mind which accompanies self underestimation and doubts about personal abilities (Sarason, 1975). Most frequently, it leads to negative cognition, attention deficiency, improper physiological reactions and poor educational performance (Abolghasemi,1999). Although this definition does not ignore the role of environmental and social factors, it focuses mainly on cognitive activities and considers them the primary cause of test anxiety (Alimohammadi, 1996). It is scientifically claimed that the complications of stress and test anxiety does not accidentally affect part of the stressed population, but all the people who are involved in test taking in a way. Everybody experiences the pressure and fear to some extent (Alimohammadi, 1996). The mental and physical health damage to manpower expert with the cost
savings and convenience is not justified by any reason (Sakineh Dadipour et al,2012). These psychiatric disorders are considered as the most common weakening diseases( Seyed Reza Mirsoleymani et al, 2013).Almost everybody is aware of the fact that "tests" have become an inherent part of life. A lot of important decisions are made based on test results. Therefore, it is not surprising if test anxiety is a considerable issue worldwide (Trifoni et al, 2001).Annually, test anxiety affects millions of school and university students all over the world. Almost 10-30 % of all the students (Cheraghiyan et al, 2008; Tashakor, 2005) suffer from this type of anxiety which is also known as "debilitating test anxiety" (Lashkari et al, 2006; Abdol Ghasemi et al, 1997). This is one of the most frequent issues in educational environments and a primary concern of educational systems. (Cheraghiyan et al, 2008; Khosravi et al, 2008). According to some scholars, although school students are also involved with test anxiety, it is maximized during higher education. Different studies state that students of medicine, health, nursing and paramedical sciences are specifically under a lot of stress. Yet, results from other surveys on students of medical sciences claim that they suffer no more than students of other fields from debilitating test anxiety (Yazdani et al, 2011). Different studies suggest other types of disorders besides students' social health or psychosis if they suffer from high levels of anxiety. They may include impacts on endocrine and exocrine glands, short term memory loss and cognitive errors (Afrooz, 1992), disrupting the immune system's normal function (Mehrabizadeh et al, 2002), excessive perspiration (Abddolghasemi, 1999) alterations of biochemical agents in blood and providing risk factors for cardiovascular diseases (Samavat, 1994). Besides all the implications mentioned above, according to researchers in the field of education, the most significant concept about test anxiety that is worth considering, is its negative impact on educational performance. It is reported (Yazdani et al, 2011) that the students' educational achievements deteriorate under the impact of test anxiety. Negative impacts of test anxiety on students' educational performance have been documented by different studies (Oladipo et al, 2013; Farooqi et al, 2012; Rana et al, 2010; Cheraghiyan, 2008; Mehrabizadehhonarmand et al, 2007; Lashkari et al, 2006; Tashakor, 1998; Alimohammadi, 1996; Amiri, 1996; Hoomand, 1994). Moreover, it is considered by some scholars the main predicting factor for educational achievement (Alimohammadi, 1996; Hoomand, 1994). This not only influences the learning programs, but also limits personal developments (Yazdani et al, 2011), and eventually public services. Disturbances due to improper educational performance and personal developments are irrefutable. According to all that went on, it is worth reconsidering test anxiety as a contributing factor in the concept of learning and bringing up qualified people. Detection and differentiation of students who suffer from test anxiety seem necessary in every educational system and specifically with regard to freshmen at universities. Program planners would also benefit from considering this issue by effective interventions. A study on students in higher education (Rana, 2010) revealed that the cognitive factor (anxiety) plays a more significant role compared with the emotional factor (excitement) when students sustain such type of anxiety. This study also concluded that effective intervention and informing the learners can help them manage their level of test anxiety. Due to the importance of effective intervention, this study was conducted on the freshmen at Hormozgan University of Medical Sciences with an intention of determining their level of test anxiety. Moreover, its potential correlation with some of the students' demographic features was assessed.
Method
This was a descriptive cross-sectional study that was conducted on the freshmen at Hormozgan University of Medical Sciences in Oct. 2012. The total number of students who had registered for the academic year of 2012-2013 was reported as 735 students. The participants' sample size was determined based on the Cochran formula (p=0.5 and q= 0.5). The participants were chosen randomly from the list of registered students. After excluding the ones who were not willing to participate, 310 students were left ultimately. A questionnaire containing two sections was designed for data collection. The first section included questions about the participants' demographic features and the second section asked questions about their test anxiety experiences using Sarason test anxiety scale. Based on a self-report method, this scale evaluates the psychological and physiological states of a student through the course of an exam and even after that. It includes 37 True-False items. Items 1, 3, 15, 26 and 27 get a point if they are marked "False" and the rest of the items get points if they are marked "True". The total grade obtained by the participants detects their level of test anxiety. The grades range between 0-37 and the cut-off points are as follow: 12 and bellow indicate low level of anxiety, 13-20 reveal moderate anxiety and above 20 severe anxiety (Yazdani et al, 2011; Lashkari et al, 2006). The questionnaire's reliability and validity had been reported in previous studies (Hatami et al, 2010) and the reliability of the test was measured using Cronbach alpha (0.7). Due
to "empty value" for the items which had not been answered, average score of 0.5 was calculated for analysis of the questionnaire. All the information from the participants was kept confidential. All together 310 analyzable questionnaires were left ultimately. Descriptive statistics including frequency, percentage, mean and standard deviation were used to analyze the data. The analytical statistical methods such as Chi-square, Mann- Whitney, Kruscal Wallis and Spearman correlation coefficient were also applied. The data was analyzed using SPSS program version 16. For all the items, 0.05 was considered statistically significant.
Results
310 analyzable questionnaires were available which were filled out by the freshmen of the academic year 2012-2013 at Hormozgan University of Medical Sciences. The youngest participant was 17 and the oldest 45 years of age. The mean and standard deviation of their age was +3.21 and 19.96 respectively. 83.7% of the participants were between 17-20 years old, 11.5% between20-24 and 4.8% between25-45. The relative frequency of females was 33.2% (96 individuals) and for males was 66.8%
(193 individuals). 81.3% (260 students) were single and 5.6% (18 students) married. Most of the participants (67.9%) studied for B.S degree, 2% for MA degree and 30.3% for PhD degree. 17.3% studied nursing, 5.5% dentistry, 8% midwifery, 4.7% radiology, 4% roentgen logy, 7.7% laboratory sciences, 7.7% anesthesiology, 7.3% operating room, 4.4% information technology, 2.6% public health, 2.2% environmental health, 0.04% entomology and 3.3% occupational health. Most of the participants' fathers were employees (51%) and mothers were housewives (85%). Regarding the parents' level of education, they had mostly studied at most up to high school (fathers 38% and mothers 43.5%). The mean ± standard deviation of the obtained grades from the questionnaires was 13.65 ± 6.06 which suggested that 11.9 % students (38 individuals) had severe test anxiety, 40.3% (129 individuals) suffered from moderate test anxiety and 47.8% (153 individuals) from low level of test anxiety. In fact, 52.5% of the participants suffered from a notable level of test anxiety. The link between sex and level of anxiety was calculated by Chi-square test and represented a statistically meaningful relationship (p= 0.03) table1.
Table1. The link between sex and level of anxiety based on Chi-square test
In order to compare the grades obtained for test anxiety among students of different fields, neither Kruscal-Wallis nor chi-square test represented a statistically significant difference (for both tests: p= 0.09).Mann-Whitney U test was applied to compare the grades obtained between two groups of married and single. The results detected no statistically significant difference (p=0.556). In addition, Chisquare test results revealed no statistically notable relationship between different levels of test anxiety and age (p=0.167). Based on Mann-Whitney U test results, the level of test anxiety and parents'
occupation had no significant relationship (fathers' job: p=0.816 and mothers' job: p=0.276). Chi-square test results presented no significant relationship between different levels of anxiety either (fathers' job: p=0.769 and for mothers' job: p=0.162) table2.Fathers' level of education (p=0.255) and mothers' level of education (p=0.695) had no statistically important impact on students' level of test anxiety.As for the item of age, Spearman correlation coefficient detected a statistically significant relationship (r=0.665, p=0).
Table 2.The link between parents' job and level of test anxiety
| | | Number | Mean | Total |
|---|---|---|---|---|
| Fathers’ job | Businessman | 123 | 124.91 | P=0.769 |
| | Employee | 128 | 127.04 | |
| | Housewife | 221 | 128.37 | |
Discussion
The mean grade for test anxiety obtained in this study is the same as the findings of a previous study (Omidi et al, 2005). In a study, the relevance of test anxiety among medical and nonmedical students was evaluated in a city in Iran (Omidi et al, 2005) and it was concluded that 13.3% of the students suffer from test anxiety. Moreover, another study (Hatami et al, 2010) was also conducted in another city in Iran which evaluated the correlation between some demographic features and level of test anxiety. Their study concluded that 14.4% of the participants suffered from severe and high levels of test anxiety, 72.8% from average level and 12% were normal. A study (Cheraghiyan et al, 2008) on nursing students at Abadan University of Medical Sciences found out that 86% of the nursing students at this university suffered from low or average levels of test anxiety. Another finding (Moadeli et al, 2003) concluded that 90%of the students who had participated in the study at Shiraz nursing and midwifery school have little test anxiety. Yet, a study (Sahebalzamani et al, 2001) conducted in another university of Medical Sciences, revealed high levels of test anxiety among the students. In a survey on test anxiety among the students of medical sciences in Belgrade (Latas et al, 2010), reported that the students mostly suffer from test anxiety. The difference between the findings in this regard may be partially due to the impact of various factors on anxiety. Hence, some scholars (Moadeli et al, 2003) consider different variables responsible for the prevalence of test anxiety among students such as lessons' level of difficulty, design of exam questions and the condition of educational system. Although this explains much about the different findings of different studies, it must be taken into accounts that since most of the freshmen do not have previous academic experiences, a selfreport assessment would not work properly to get an exact and objective report. It can be therefore added here that using different methods and instruments for the exact assessment of the level of test anxiety is worth considering.
The findings of this study detected a significant relationship between the sex of the participants and their level of test anxiety. This finding does not correspond with the results from some of the previous studies (Oladipo, 2013; Hatami et al, 2009; Bigdeli et al, 2008). A study ( Farooqi et al, 2012) demonstrated no statistically significant difference between the levels of test anxiety in male students compared with female students of medicine in Pakistan. Yet, some other scholars report the higher prevalence of test anxiety among females (Latas et al, 2010; Akbarboorang et al, 2009; Lashkari et al, 2007; Narimani et al, 2006; Moadeli et al, 2004; Amir Mdjd et al, 2001; Moosavi et al, 1999; Ali Mohammadi, 1996; Hoomand, 1994). The same finding was recently reported as well (Ya-hueiwang, 2013). It is probable that girls are convinced to accept anxiety as a female character and learn to give up when they are under stress while boys act defensively and consider anxiety a threat to their masculinity. A study (Farooqi et al, 2012) considers the traditional gender roles of females along with their duties in a patriarchal society responsible for their anxiety that leads to poor educational performance. This study also concluded that the discrepancies among males and females regarding test anxiety may be partially due to different social roles assigned to men and women as well as increased emotional vulnerability of women. Pakistan's patriarchal society would be one of the main reasons for the inhibitions that women confront in higher education and specifically medical education. Insecurity and threats to selfesteem among girls explains the onset of such anxiety (Farooqi et al, 2012). Another study (AmiriMadjd et al, 2009) considers both environmental and genetic factors responsible for girls' test anxiety. Lower levels of test anxiety among men would be partially due to the fact that they are less obsessive about educational and academic competition. They have higher desires for employment. The relationship between students' test anxiety and their age was under investigation which represented a statistically significant link. Another study reported the same finding (Omidi et al 2005). Based on a study (Watson, 1998), the older the students, the less their level of test anxiety. However, in some studies (Oladipo, 2013; Yazdani, 2011; Hatami et al, 2010; Cheraghiyan et al, 2009; Moadeli, 2004) no significant relationship between age and test anxiety was detected. This discrepancy in the findings may be partially due to participants' various conditions. The participants of the above mentioned studies were already university students and were not experiencing a totally unfamiliar environment. However, the participants of the present study were all freshmen who had just started academic education with quite novel experiences. In this regard, it is not strange if older participants report a higher level of anxiety since this is completely new to them and needs a lot of adjustments. This study evaluated the relationship between test anxiety and marital status as well which showed no statistically significant link. Yet, some other studies (Moadeli, 2004; Omidi et al, 1996) report a significant relationship between test anxiety and marital status. The findings from some other surveys (Yazdani, 2011; Cheraghiyan, 2008) are consistent with the present study. Due to limited number of married participants in this study, further investigations are recommended in this regard.
The participants' parents' job or educational degree had no impact on their anxiety level which is in accordance with a previous study (Moosavi, 2002). Yet, a survey (Ghazanfari et al, 2004) reported that the higher the fathers' level of education, the more test anxiety students suffer from. As for the parents' job, the findings were the same as the present study. Prevalence of anxiety was not different among students in different fields and levels of education which is the same as the results from some previous studies (Omidi, 2005; Moadeli et al, 2004). A survey
(Cheraghiyan et al, 2009) reported no significant relationship between level of education and test anxiety. It was reported from a survey (Ya-huei Wang, 2013) that nursing students suffer from anxiety to a greater degree compared with other students of medical sciences. Apart from the potential effects of participants' immediate mental and emotional states, probable lack of self- recognition or honesty might have affected this survey which is usual for any self-report study.
Questionnaire
Please answer the following questions. All the information will be kept confidentially.
Gender:
Male
Female
Marital status: Married single
divorced
Field of Study:
Number of family members:
Father's job:
Father's level of education: PhD degree Masters degree Bachelors degree Associate degree
High
school diploma below high school diploma
Mother's job:
Mother's level of education: PhD degree Masters degree Bachelors degree Associate degree
High school diploma below high school diploma
Test Anxiety Scale
How much test anxiety do you have? Without overthinking the answer, circle "True" or "False". Give your first instinctive response.
1. While taking an important exam, I find myself thinking how much smarter the other students are than I am. True False
2. If I were to take an intelligence test, I would worry a great deal before taking it. True False
3. If I knew I was going to take an intelligence test, I would feel confident and relaxed. True False
4. While taking an important exam, I perspire a great deal.
True False
5. During class exams, I find myself thinking of things unrelated to the actual course material. True False
6. When a surprise test is announced, I panic. True False
7. During a test, I find myself thinking of the consequences of failing. True False
8. After important tests, I am frequently so tense my stomach gets upset. True False
9. I freeze up on things like intelligence tests or final exams. True False
10. Getting good grades on one test doesn't seem to increase my confidence on the second. True False
11. I sometimes feel my heart beating very fast during important exams. True False
12. After taking a test, I always feel I could have done better than I actually did. True False
13. I usually get depressed after a test. True False
14. I have an uneasy, upset feeling before taking a final examination. True False
15. When taking a test, my emotional feelings do not interfere with my performance. True False
16. During a course exam, I frequently get so nervous, I forget facts I really know. True False
17. I seem to defeat myself while working on important tests. True False
18. The harder I work at taking a test or studying for one, the more confused I get. True False
19. As soon as the exam is over, I try to stop worrying about it but I just can't. True False
20.
During exams, I sometimes wonder if I'll ever get through school. True False
21. I would rather write a term paper than take an exam for my grade in a course. True False
22. I wish exams did not bother me so much. True False
23. I think I could do much better on tests if I could take them alone and not feel pressured by time limits. True False
24. Thinking about the grade I may get in a course interferes with my studying and performance on tests. True False
25. If exams could be done away with, I think I would actually learn more. True False
26. On exams I take the attitude, "If I don't know it now, there's no point in worrying about it." True False
27. I really don't see why some people get so upset about tests. True False
28. Thoughts of doing poorly interfere with my performance on tests. True False
29. I don't study any harder for final exams than for the rest of my coursework. True False
30. Even when I'm well prepared for a test, I feel very anxious about it. True False
31. I don't enjoy eating before an important test. True False
32. Before an important exam, I find my hands or arms trembling. True False
33. I seldom feel the need for "cramming" before an exam. True False
34. The school should recognize that some students are more nervous than others about tests and that this affects their performance. True False
35. It seems to me that exam periods should not be made such intense situations. True False
36. I started feeling very uneasy just before getting back a test paper. True False
37. I dread courses where the instructor has the habit of giving "pop" quizzes. True False
Test Anxiety Scale reproduced from Sarason, I. G. (1980), Test Anxiety: Theory, Research, and Applications. Permission granted by Lawrence Erlbaum Associates, Inc.
Scoring the Test Anxiety Scale is: The total number of "True" answers is your test anxiety score. A score of 12 or below ranks in the low anxiety range. If that is your score, the chances are that you wouldn't be extra stressed right now. A score of 12-20 ranks in the medium range. Any score above 20 signifies high test anxiety. Scoring 15 or greater is a good indication that you experience considerable discomfort about taking tests.
Acknowledgments
The authors would like to hereby thank the Department of Research and Technology as well as the students at Hormozgan University of Medical Sciences who enthusiastically participated in this research.
Alimohammadi, H. (1996). Study of relationship of test anxiety, subjectivism, objectivism of students, and occupation of parents' literacy level with educational achievement of students in third grad, Masters Thesis, University of Shiraz.
Corresponding author:
Parvin Rezaei,
Faculty of education development center of Hormozgan University of Medical Sciences, Bandare-Abbas, Iran.
Tel: 0098-761-6668476
E-mail: [email protected]
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Mehrabizadeh, H.M., Abolghasemi, A., &Najjarian, B. (2002). Epidemiology of Test Anxiety and its relation with self efficacy, Test anxiety control through focusing on intelligence variable. Journal of Education and Psychology (Chamran University), 3, 55-73.
Mehrabizadeh H.M., (2007). Investigate the effect of systematic desensitization on test anxiety and academic performance. Applied Psychology, 5, 23-34.
Moadeli, Z., Ghazanfari- Hesamabadi, M. (2005). A survey on the students' exam anxiety in the hazratefatemeh college of nursing and midwifery. Strides in Development of Medical Education, 2, 65-72.
Mousavi, M,. Haghshenas , H., Alishahi, M,. &Najmi, S. B. (2008). Anxiety test and some correlated socio-demographic factors in high
school students in Shiraz. Researches of Behavioral Science, 1,17-25.
Narimani, M., Islamdoost, S., & Ghaffari, M. (2006). causes and ways to deal with test anxiety in students. Research and Planning in Higher Education,39 ,23-41.
Oladipo, S. E., Ogungbamila, A.(2013).Demographic Predictors of Test Anxiety among Undergraduates. International Journal of Learning and Development, 1,62-66
Omidi A., Assarian, F., Mousavi S, Kashani- S M. (2005). Comparison of the prevalence of anxiety in medical and non-medical students of Kashan University of Medical Sciences in 2000. 7th congress of Medical Education,esfahan, Iran.
Rana, R. A., Mahmood, N. (2010). The Relationship between Test Anxiety and Academic Achievement. Bulletin of Education and Research, 2, 63- 74.
Sahe lzamani, M., Zirak, A. (2011). Students Learning and Study Strategies in Isfahan University of Medical Sciences and their relationship with Test Anxiety. Iranian Journal of Medical Education,1, 58-68.
Samavat, F. (1994). The effect of regular exercise on blood composition by altering some of the anxiety. (dissertation). University of Tarbiatmoallem.
Thashakkor, B. (1998). Relationship between parental attitudes, parenting patterns, personality pattern A, perfection oriented and object oriented parental anxiety and academic performance of boys junior of Abadeh city. (dissertation). Ahvaz University of Shahid Chamran.
Trifoni A, ShahiniM. (2011). How Does Exam Anxiety Affect the Performance of University Students? Mediterranean Journal of Social Sciences, 12,93-100.
Wang, Y., Lai, C.,& Liao, H. C. (2013).An Investigation Of GEPT Test Anxiety For Medical University Students In Taiwan .Journal Of College Teaching & Learning. 2.
Yazdani, F., Soleimani, B. (2011). Relationship between test anxiety and Academic Performance among Midwives Students. Journal of Health Systems Research, 6,1-10.
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Annual boat arrivals in Australian waters 1997
total arrivals on 11 vessels: 339
departures: 274 (80.8%)
Visas: 64 PVs, 1 BV 65 (19.2%)
| number | date | location | nickname | number | nationality |
|---|---|---|---|---|---|
| 1 / 63 | 15 Jan | Saibai Island/Torres Strait | Oleria | 4 adults | Iraq |
| 2 / 64 | 10 Febr | Ashmore Islands | Pilliga | 7 adults | 2 Iraq 1 Iran 4 Algeria |
| 3 / 65 | 6 Mar | Darwin | Quercus | 54 adults 16 children | China |
| 4 / 66 | 23 Mar | Christmas Island | Red Gum | 9 adults | Iraq |
| 5 / 67 | 30 Apr | Darwin | She Oak | 36 adults 8 children | China |
| 6 / 68 | 13 Jun | Torres Strait | Telopea | 134 adults 5 children | China |
| 7 / 69 | 30 Jun | Coral Bay Western Australia | Urtica | 15 adults | Sri Lankan |
| 8 / 70 | 25 Jul | Christmas Island | Viola | 15 adults | 8 Iraq 1 Afghanistan 4 Algeria 1 Sudan 1 Bangladesh |
| 9 / 71 | 4 Sept | Christmas Island | Waratah | 17 adults 8 children 1 baby* | 3 Iraq 17 Afghanistan 4 Algeria 1 Sudan |
| 10 / 72 | 11 Sept | Darwin | Xyris | 3 adults | 2 Algeria 1 Morocco |
| 11 / 73 | 14 Nov | Ashmore Islands | Yulbah | 6 adults 2 children | Afghanistan |
Project SafeCom Inc. – 2010 – Reconstructed from official sources
Sources:
DIMIA (2004). Fact Sheet 74a: Boat Arrivals. Last updated October 6, 2004. Accessed online at http://sievx.com/articles/psdp/DIMIA74a_boatarrivals.pdf
Note: the boat name used is the code name used by DIMA to identify each boat. The real name of any boat, if included, is shown in brackets following the code name.
Symbols Used
baby* = born after arrival;
children = under 18, at boat's arrival;
PV, BV = entry through refugee status (protection visa);
detention = in detention/custody (that is, under investigation/awaiting repatriation to safe third country/having been refused refugee status/with application, appeal or litigation pending.
departures = departures from Australia;
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SUDIE L. WILLIAMS ELEMENTARY SCHOOL
SCORECARD 2010-2011
4518 Pomona Rd | Dallas, TX 75209 | (972) 794-8700 | Fax (972) 794-8701 | http://www.dallasisd.org/scorecards
School
Location
Overview
Jack Lowe, District 2
Board of Trustees
2010-2011 Principal
Lorena Hernandez
Learning Community
Northwest Elementary
Grade Levels
PreK-5
Accountability Rating
Recognized
Feeder schools Elementary Schools
At Sudie L. Williams Elementary School, our mission is to provide students with a rigorous and effort-based environment where teachers, students, parents, and volunteer partners actively participate in our collaborative learning community to increase student achievement.
Sudie L. Williams has committed to ensuring that our best practices and instructional strategies are aligned with the district's mission and purpose of educating and preparing students to graduate ready for college and the workforce.
The school staff establishes ongoing relationships with parents and community for the shared purpose of student success. Parents and volunteers are always welcome to participate in all school activities. We hold monthly parent meetings that allow our parents to stay informed and connected to the latest school improvement efforts and share in our successes. Other parent involvement opportunities include serving as a homeroom parent and on the Site-Based Decision Making committee and participating in PTA and Parent Involvement for Quality Education workshops.
N/A
Middle Schools
E.H. Cary
High Schools
Thomas Jefferson
N/A
Student, School and Faculty awards
After-school / Before-
DASA after-school program school programs
Wells Fargo, Bluffview Neighborhood Association External partnerships
Extracurricular soccer, Chinese
activities
Creative writing, art, Mad Science, dance, Boy Scouts,
SUDIE L. WILLIAMS ELEMENTARY SCHOOL
SCORECARD 2010-2011
3-YEAR TREND
| STUDENT ACHIEVEMENT | | | | | | | |
|---|---|---|---|---|---|---|---|
| S | TAKS - Students who met Minimum Standard | | | TAKS - Commended Pe | | | rformance |
| | Reading | 76.4% q 72.3% p 83.9% | 90% | 11.2% p 16.8% p 33.3% | | | 50% |
| TAK | Mathematics | 73.3% p 81.2% p 89.2% | 90% | 26.7% p 32.7% q 26.9% | | | 50% |
| | Science | 60.0% p 80.0% p 81.3% | 90% | 24.0% p 35.0% q 18.8% | | | 50% |
| | Writing | 74.3% p 100.0% q 84.8% | 90% | 20.0% q 13.3% p 15.2% | | | 50% |
| S (K-2) | | ITBS - At Grade Level | | ITBS - At Advanced Gr | | | ade Level |
| | Reading | 75.0% q 70.5% q 63.4% | - | 33.1% q 31.7% q 26.1% | | | - |
| ITB | Mathematics | 40.0% p 54.1% q 51.4% | - | 7.8% p 11.1% p 19.7% | | | - |
| Students who met DIAL-3 national average (Pre-Kindergarten only) | | | | 77.3% | | | - |
| ON TRACK | | | | | | | |
| Students present at least 90% of the time | | | | 92.8% q 92.3% q 92.2% | | | - |
| 5th grade students on track for middle school | | | | 40.6% p 59.5% q 58.8% | | | - |
| Students on track one year after leaving this school | | | | 55.0% p 60.0% q 51.4% | | | - |
| STUDENT GROWTH | | | | | | | |
| Students who made expected gains on TAKS Reading | | | | 80.0% q 65.3% n/a | | | - |
| Students who made expected gains on TAKS Mathematics | | | | 75.0% q 60.0% n/a | | | - |
| School Effectiveness Index (SEI - average score is 50) | | | | 45.9 p 47.6 p 53.4 | | | - |
| TEACHERS | | | | | | | |
| Average teacher attendance rate | | | | 91.1% q 88.6% q 80.5% | | | - |
| Teachers retained from previous year | | | | 74.1% p 77.8% q 72.7% | | | - |
| Scorecard Text Value LEARNING ENVIRONMENT | | | | | | | |
| Parents who completed survey = 90 out of 276 = 32.6% | | | | | Agree | Not Sure | |
| | Parents are satisfied with the quality of education | | | | 97.7% | 1.1% | |
| TS | Parents believe the school has a welcoming environment | | | | 97.7% | 2.3% | |
| PAREN | Parents are satisfied with the school facilities and cleanliness | | | | 96.6% | 3.4% | |
| | The school informs parents about their child's grades and learning progress throughout the year | | | | 97.7% | 1.2% | |
| | The school responds to concerns in a timely manner | | | | 96.4% | 2.4% | |
2011
3-YEAR TREND
2011
-
-
Elementary School Scorecard Legend
Name
Definition
Why This Matters
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PERFORMANCE ANALYSES
For the period January - September 2012
According to the unaudited stand alone and consolidated Income statement for the period January - September 2012, Alkaloid AD Skopje achieved positive financial results.
The achieved stand alone and consolidated results for the period January - September 2012, the proportions, dynamics and comparison with the previous year are as follows:
Stand alone sales
Consolidated sales
Earning before income taxes, depreciation and amortization (EBITDA)
(In 000 MKD)
Net Income
There were 68 new eployments for the period January - September 2012 in Alkaloid in Republic of Macedonia.
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| 13,145,712
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Leeds, Grenville and Lanark District Health Unit
By-Law #1
November 19, 2015
Table of Contents
17.0 Amendments......................................................................................................................... 12
This By-law relates to the organization and transaction of the business of the Leeds, Grenville and Lanark District Health Unit.
AND WHEREAS the Leeds, Grenville and Lanark District Health Unit desires to amend the by-laws respecting the conduct of its affairs,
BE IT ENACTED as By-law #1 of the Leeds, Grenville and Lanark District Health Unit that:
1.0 INTERPRETATION
In this By-law, and in all other By-laws and resolutions of the Leeds, Grenville and Lanark District Health Unit, unless the context requires otherwise:
1.1 the singular includes the plural and vice versa;
1.2 words importing a specific gender shall include the other gender;
1.3 "serving" means delivery by person, mail, email, or fax, and anything delivered by mail shall be deemed to be served five (5) business days from the date of mailing;
1.4 "Board" means the Board of Health, a local Board under the Health Protection and Promotion Act, for the Corporation of the Leeds, Grenville and Lanark District Health Unit;
1.5 "Corporation" and "Organization" mean the Leeds, Grenville and Lanark District Health Unit;
1.6 "Documents" includes deeds, mortgages, hypothecate, charges, conveyances, transfers and assignments of property real or personal, immovable or moveable, agreements, releases, receipts, and discharges for the payment of money or other obligations, conveyances, transfers and assignments of shares, bonds, debentures or other securities and all paper writings;
1.7 the "Act" means the Health Protection and Promotion Act, (H.P.P.A.) R.S.O. 1990, Chapter H.7, as from time to time amended, and every statute that may be substituted therefore, and in the case of such amendment or substitution, any reference in the By-laws of the Corporation shall be read as referring to the amended or substituted provisions therefore;
1.8 "By-law" means any By-law of the Corporation from time to time in force and effect;
1.9 "Chair and Vice- Chair" means the person elected under Section 57 of the Act at the first meeting of the Board in each year;
1.10 "Committee" means a committee of the Board;
1.11 "Finance and Property Committee" means a subcommittee of the Board whose purpose is to provide advice to the Board of Health and the Medical Officer of Health/CEO on the administration and risk management matters related to the finances and facilities of the organization.
1.12 "Governance Committee" means a subcommittee of the Board whose purpose is to support effective and efficient functioning of the Board of Health in compliance with the HPPA and MOHLTC Public Health Organizational Standards.
1.13 "Councils" means the Councils of the Municipal Corporations of the United Counties of Leeds and Grenville, the County of Lanark, and the separated City of Brockville, and separated towns of Gananoque, Prescott, and Smiths Falls;
1.14 "In-camera" means a part of a Board meeting or committee meeting closed to the public;
1.15 "Medical Officer of Health" means the person appointed in accordance with Section 62 of the H.P.P.A. and who, according to that section, carries out the role of Chief Executive Officer.
1.16 "Meeting" means a meeting of the Board;
1.17 "Member" means a member of the Board who has been appointed to the Board by provincial order in council or by an obligated municipal council while an "Alternate member" means a member appointed to the Board by a municipality at the start of the term or from time to time as required (provided that Alternate member(s) may only represent the municipality at a Board meeting when the member is absent);
1.18 "Municipalities" means the aggregation of the Municipalities of the United Counties of Leeds and Grenville and the County of Lanark along with the separated City of Brockville, and separated towns of Gananoque, Prescott, and Smiths Falls;
1.19 "Quorum" means a majority of the members of the Board present either in person or by way of teleconference or videoconference;
1.20 "Recorded Vote" means documenting in the minutes of a meeting the name of each Member and his/her vote on a motion in favour, opposed, or abstain.
2.0 CORPORATE SEAL
The Board may at any time direct the use of the corporate seal by the person(s) who will sign on behalf of the Board to any contract, arrangement, conveyance, mortgage, obligation, or other document.
3.0 HEAD OFFICE
The Head Office of the Corporation shall be in the City of Brockville in the Province of Ontario, or at such place as the Board may from time to time determine by special resolution.
4.0 GEOGRAPHIC AREA SERVED
The Corporation shall serve the United Counties of Leeds and Grenville and the County of Lanark, along with the separated City of Brockville, and separated towns of Gananoque, Prescott, and Smiths Falls.
5.0 PURPOSE AND OBJECTIVES
The purpose and objectives of the Corporation shall be to provide public health services and programs in collaboration with community partners, and to promote and protect the health of the people of the municipalities of the United Counties of Leeds and Grenville and the County of
Lanark along with the separated City of Brockville, and separated towns of Gananoque, Prescott, and Smiths Falls.
6.0 BOARD MEMBERS
6.1 Numbers and Powers
The Act states: "A board of health is composed of the members appointed to the board under this Act and the regulations. There shall be not fewer than three and not more than thirteen municipal members of each board of health. The Lieutenant Governor in Council may appoint one or more persons as members of a board of health, but the number of members so appointed shall be less than the number of municipal members of the board of health." (H.P.P.A. section 49 (1), (2), (3))
6.2 Municipal Members
Annually Councils will identify elected representative(s) to be a member of the Board as follows:
- United Counties of Leeds and Grenville (2)
- Brockville (1)
- Prescott (1)
- Gananoque (1)
- Lanark County (1)
- Smiths Falls (1)
6.3 Public Appointments
The Board will identify community members residing in the municipalities of the United Counties of Leeds and Grenville and the County of Lanark along with the separated City of Brockville, and the separated towns of Gananoque, Prescott, and Smiths Falls to be considered for provincial appointments by the Lieutenant Governor in Council as vacancies become available.
6.4 Remuneration
Each member shall be paid remuneration for attendance at Board meetings or for meetings held to do Board business according to the Act 49 (4), (10) and (11).
6.5 Confidentiality
All members of the Board shall respect the confidentiality of such matters as determined by the Board.
6.6 Insurance
The Corporation shall purchase and maintain insurance for the protection of the Board members and the Corporation that shall include, but is not limited to, all staff and volunteers.
6.7 Indemnification
Every Board member or Officer of the Corporation or other person who has undertaken any liability on behalf of the Corporation and their heirs, executors and administrators, and estate and effects, respectively, shall from time to time and at all times, be indemnified and saved harmless out of the funds of the Corporation, from and against:
6.7.1 All costs, charges and expenses whatsoever which such Board member, Officer or other person sustains or incurs in or about any action, suit or proceeding which is brought, commenced or prosecuted against them for or in respect of any act, deed, matter or thing whatsoever, made, done or permitted by them, in or about the execution of the duties of their office or in respect of any such liability; and
6.7.2 All other costs, charges and expenses which they sustain or incur in or about or in relation to the affairs thereof, except such costs, charges or expenses as are occasioned by their own willful neglect or default.
The Corporation shall also indemnify any Board member in such other circumstances as the Act or law permits or requires. Nothing in this By-law shall limit the right of any person entitled to indemnity to claim indemnity apart from the provisions of this By-law to the extent permitted by law.
6.8 Vacating the Office
The office of a member of the Board shall be vacated:
6.8.1 If an order is made declaring the member to be a mentally incompetent person or incapable of managing his/her own affairs;
6.8.2 If the member is convicted of any criminal offence that affects their ability to function effectively as a Board member, and unless the Board otherwise resolves the member shall resign from the Board; [A member shall report (in confidence) any conviction of a criminal offense to the Chair of the Board to initially determine if such conviction will affect the member's ability to function effectively as a Board member; and if there is a difference between the Board Chair and the member about its potential impact, the matter will go to the Board for a vote.]
6.8.3 If by notice in writing to the Executive Assistant of the Board the member resigns his/her office and such resignation, if not effective immediately, then becomes effective in accordance with its terms;
6.8.4 If the member is a municipal representative on the Board and is no longer an elected official of the respective municipality or if the member is a provincial representative whose term has ended;
6.8.5 The member fails to attend, without notice, three (3) consecutive Board or committee meetings where the Board has not allowed such absence (members who wish the Board to allow such absence will give notice to the Board or committee through the Chair);
6.8.6 The member repeatedly contravenes the Board's Duties and Obligations of Members; and
6.8.7 If an office is left vacant, then the vacant member position(s) shall not be included in the total when declaring a quorum.
7.0 MEETINGS OF BOARD AND EXECUTIVE
7.1 Place, Date and Time of Meetings
Meetings will be held a minimum of eight (8) times during the year, or at the call of the Chair. The meetings will be held in the United Counties of Leeds and Grenville or the County of Lanark, Brockville, Smiths Falls, Gananoque or Prescott at the time decided by the Board.
7.2 Notice of a Meeting
A printed, written, typewritten or electronic notice stating the day, hour and place of meeting and the general nature of the business to be transacted shall be given to each Board member a minimum of three (3) days in advance of any meeting of the Board. The accidental omission to give notice of any meeting or any irregularity in the notice of any such meeting or the nonreceipt of any notice by a member or members shall not invalidate any resolution passed or any proceedings taken at such meeting, provided that such resolution or group proceedings shall be passed by a majority of members entitled to vote at such meeting.
7.3 Quorum
One more than half of the members of the Board shall constitute a quorum for the purpose of the meetings of the Board.
7.4 Chair of Board Meetings
The Chair of the Board shall preside at all meetings of the Board or designate the Vice-Chair to do so. If neither is present within fifteen (15) minutes of the start of such meeting, the members shall elect, from among themselves, a member in good standing to preside over that meeting.
7.5 Access
7.5.1 Every Board meeting is open to the public unless it is an in-camera session.
7.5.2 The Corporation will make reasonable efforts to make meetings of the Board accessible to individuals with disabilities.
7.6 Conduct of Board Meetings
7.6.1 The Board may from time to time establish policies and procedures that guide Board meetings.
7.6.2 The Chair of any Board meeting shall not vote on any motion, except in the case of a tie when the Chair shall cast the deciding vote.
7.6.3. An entry in the minutes that the Chairperson of the relevant Board meeting declared a motion carried is admissible as prima facie proof that the motion was carried. A recorded vote for and against motions considered at each Board meeting shall be entered in the minutes of the meeting when a recorded vote takes place. A recorded vote shall be taken if any member asks for a recorded vote to take place.
7.6.4 Robert's Rules of Order shall apply to all meetings of the Board.
7.6.5 All members shall sign the Duties and Obligations of Members developed and approved by the Board.
7.6.6 If there is no quorum within ten (10) minutes after the time appointed for the meeting, the Executive Assistant of the Board shall call the roll and record the names of the members then present.
7.7 Annual Meeting
At the first meeting in each year in addition to any other business, the following must be considered:
- Chair's Report
- Current Committee Reports
- Report of the Medical Officer of Health
- Appointment of Auditors
- Election of Chair and Vice-Chair
- Appointment of Signing Officers - Signing Officers shall be the Board Chair, Vice-Chair, Chief Executive Officer (MOH) and the Business Manager.
7.8 In-camera meetings
A meeting or part of a meeting shall be closed to the public if the subject matter being considered affects:
- The security of the property of the Board;
- Personal matters about an identifiable individual, including Board employees;
- A proposed or pending acquisition or disposition of land by the Board;
- Labour relations or employee negotiations;
- Litigation or potential litigation, including matters before administrative tribunals, affecting the local Board;
- Advice that is subject to solicitor-client privilege, including communications necessary for that purpose; and
- A matter in respect of which a Board or committee may hold closed Meetings.
8.0 COMMITTEES
The Board shall constitute such Committees as it deems necessary and shall prescribe their duties and responsibilities. Such Committees shall be responsible to the Board and shall report to the Board on whatever matter has been assigned to it. The Board will have two standing committees:
- Governance Committee
- Finance and Property Committee
8.1 Quorum
One more than half of the members of the Committee shall constitute a quorum for the purpose of the meetings of the Committee.
8.2 Removal
The Board may remove a Committee member if the member fails to attend three (3) consecutive committee meetings or five (5) Committee meetings within a given year.
9.0 EXECUTIVE OFFICERS
9.1 Chair
The Chair shall, when present, preside at all meetings of the Board and shall maintain order and observance of By-laws, policies, and procedures. The Chair shall sign all necessary consents and documents, and shall have such other powers and duties as may from time to time be assigned to him/her by the Board.
The Chair or designate and the Medical Officer of Health or designate are the official spokespersons for the Corporation.
9.2 Vice-Chair
The Vice-Chair may be called upon to preside in the absence of the Chair, and while so acting shall have all the powers of the Chair. In the event of the Chair and Vice-Chair not being present at a meeting, the members present may elect one of the members to preside, and the member so elected shall have all of the powers of the Chair while so presiding.
9.3 Election of Officers
9.3.1. The Governance Committee will announce the slate of nominees for the following positions at the Annual Meeting:
22.214.171.124. Board Chair
126.96.36.199. Board Vice-Chair
9.3.2. If there is more than one candidate for each office, then a vote by secret ballot will be taken. The Board will destroy all ballots after the Medical Officer of Health has verified the count.
9.4 Powers and Duties
All officers shall sign such contracts, documents or instruments in writing as required with their respective signatures and shall have and perform all powers and duties incident to their respective offices and such other powers and duties as may from time to time be assigned to them by the Board.
The Board may create policies and procedures to guide the officers in the fulfillment of their duties.
9.5 Duties May be Delegated
In the case of the absence or inability to act of any officer of the Corporation, or for any other reason that the Board deems sufficient, the Board may delegate all or any of the powers of such officer to any other officer or to any member for a period of time as determined by the Board.
10.0 SPECIFIC BUSINESS OPERATIONS
All matters related to the financial affairs of the Board shall be carried out by the Medical Officer of Health or delegate (for example, the Business Manager) and shall be carried out without purpose of gain for its members and any profits or other gains to the organization shall be used in promoting its objectives.
10.1 Banking
The Corporation's bank accounts shall be kept in such banks, trust companies or other firms or corporations as the Board may determine. Cheques on the Corporation's bank accounts, drafts accepted by the Corporation, promissory notes, mortgages, lines of credit, etc. given by it, and letters of hypothecation to banks and others shall be signed, drawn or accepted as the case may be, by any two signing officers as specified by the Board with at least one of such persons being a Board member.
Bills of exchange, promissory notes, cheques or orders for money may be endorsed for deposit to the credit of the Corporation by any signing officer.
10.2 Borrowing
Subject to the limitations set out in the By-laws, the Letters Patent of the Corporation, etc., the Board may:
10.2.1 Borrow money on the credit of the Corporation;
10.2.2 Charge, mortgage, hypothecate or pledge all or any of the real or personal property of the Corporation, including book debts, rights, powers, franchises and undertakings, to secure any securities or any money borrowed, or other debt, or any other obligation or liability of the Corporation; and
10.2.3 From time to time the Board may authorize any officer or employee of the Corporation or any other person to make arrangements with reference to the money so borrowed or to be borrowed and as to the terms and conditions of the loan thereof, and as to the security to be given therefore, with power to vary or modify such arrangements, terms and conditions and to give such additional security as the Board may authorize, and generally to manage, transact and settle the borrowing of money by the Corporation.
10.3 Contractual Agreements
Documents requiring execution by the Corporation shall be signed by anyone authorized by the Board to enter into contracts on behalf of the Corporation and all documents so signed are binding upon the Corporation without further authorization or formality. Contracts required in the ordinary day-to-day operations of the Corporation will not require prior approval. The Board may from time-to-time appoint any officer or officers or any person or persons on behalf of the Corporation to sign documents generally or to sign specific documents. The Corporate Seal of the Corporation shall, when required, be affixed to documents executed in accordance with this By-law.
10.4 Securities
The securities of the Corporation shall be deposited for safekeeping with one or more banks, trust companies, or other financial institutions to be selected by the Board. Any and all securities so deposited may be withdrawn, from time to time, only upon written order of the Corporation and signed by such officer or officers, agent or agents of the Corporation, and in such as manner as shall be determined from time to time by resolution of the Board, and such authority may be general or confined to specific instances. The institutions, which may be so selected as custodians of the Board, shall be fully protected in acting in accordance with directions of the Board and shall in no event be liable for the due application of the securities so withdrawn from deposit or the proceeds thereof.
10.5 Books and Records
The Board members shall see that all necessary books and records of the Corporation required by the By-laws of the Corporation or by an applicable statute or law are regularly and properly kept.
10.6 Municipal surplus
The municipal portion of the year-end public health surpluses will be retained by the corporation and deposited into the corporation municipal reserve. These funds may be applied to the cost of delivering public health services in the subsequent fiscal year in an effort to smooth and/or delay municipal levy increases or to fund capital expenditures or to fund any other purpose as approved by the Board.
11.0 PROPERTY
The Board shall hold title to any real property acquired by the Board for the purposes of carrying out the functions of the Board and may sell, exchange, lease, mortgage or otherwise charge or dispose of real property owned by it subject to any applicable legislation.
The Board shall ensure that all such properties comply with applicable statutory requirements contained in local, provincial and/or federal legislation (e.g. building and fire codes).
12.0 MEDICAL OFFICER OF HEALTH / CHIEF EXECUTIVE OFFICER
The Board shall recommend an individual to be appointed by the Minister of Health and LongTerm Care as Medical Officer of Health (MOH) and Chief Executive Officer (CEO), and may delegate full authority to the MOH/CEO to manage and direct the business and affairs of the Corporation (except in such matters and duties as by law must be transacted or performed by the Board) in accordance with all applicable legislation.
13.0 CONFLICT OF INTEREST
Every Board member is in fiduciary relationship with the Corporation and is under an obligation to act in the utmost good faith towards the Corporation in dealings with it or on its behalf. Board members shall not place themselves in a position where there is a conflict between their duty as a Board member and their other interests.
Board members who have in any way, directly or indirectly, an interest in an existing or proposed contract, transaction or proposal regarding the Corporation or who otherwise may have a conflict of interest or perceived conflict of interest are encouraged to address the issue with the Chair in advance of a meeting but must also seek a decision at the Board meeting regarding the potential conflict.
In the event of a ruling indicating a conflict of interest, the member shall not participate in the discussion or decision-making regarding the issue under consideration. The member may respond to questions of fact or process on the issue. Non participation in the discussion does not necessarily imply leaving the room during deliberation of the issue.
14.0 AUDITORS
14.1 Appointment
The Board shall appoint annually an Auditor who shall be licensed under the Public Accountancy Act 2004.
14.2 Reporting
The auditor shall annually report to the Board members on the financial statement of the Corporation.
14.3 Qualifications
No person shall be appointed as auditor of the Corporation who is a Board member or employee of the Corporation or is a partner-employee or employee of any such member or employee, or in any other circumstance in which a conflict of interest could be perceived.
15.0 FINANCIAL YEAR
The financial year of the Corporation shall begin on January 1 st and shall end on December 31 st in each year.
16.0 REPEAL OF BY-LAWS
All prior By-laws, resolutions or other enactments of the Corporation inconsistent with this Bylaw are severable and hereby repealed to the extent of such inconsistency.
17.0 AMENDMENTS
A By-law which has been confirmed at a general meeting of the Board may be amended or repealed at a general meeting or special meeting by vote of a minimum of two-thirds (2/3) of the Board members present, provided that a notice in writing of such proposed amendment, or repeal shall have been sent to each Board member at least thirty (30) days prior to such meeting.
The provisions of this By-law are severable. If any question, section, or word is held to be invalid or illegal, such invalidity or illegality shall not affect or impair any of the remaining provisions, sections or words. Where the terms of any By-law passed prior to this By-law conflict with this By-law, the terms of this By-law shall prevail.
Passed by the Board of Health on the 19th day of November 2015.
Signed and sealed
Original signed by
Anne Warren, Chair, Board of Health
This is a true copy of By-law #1 of the Leeds, Grenville and Lanark District Health Unit as passed by the Board of Health on the 19th th day of November 2015.
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Evidence-Based Surgery Chirurgie factuelle
Canadian Association of General Surgeons and American College of Surgeons Evidence Based Reviews in Surgery. 21.
The risk of surgical site infection is reduced with perioperative oxygen
Karen Brasel, MD; Donna McRitchie, MD; Patch Dellinger, MD; for the Members of the Evidence Based Reviews in Surgery Group *
CAGS Evidence Based Reviews in Surgery
The term "evidence-based medicine" was first coined by Sackett and colleagues as "the conscientious, explicit and judicious use of current best evidence in making decisions about the care of individual patients." 1 The key to practising evidence-based medicine is applying the best current knowledge to decisions in individual patients. Medical knowledge is continually and rapidly expanding, and it is impossible for an individual clinician to read all the medical literature. For clinicians to practise evidence-based medicine, they must have the skills to read and interpret the medical literature, so that they can determine the validity, reliability, credibility and utility of individual articles. These skills are known as critical appraisal skills. Generally, critical appraisal requires that clinicians have some knowledge of biostatistics, clinical epidemiology, decision analysis and economics, as well as clinical knowledge.
The Canadian Association of General Surgeons and the American College of Surgeons jointly sponsor a program entitled "Evidence Based Reviews in Surgery (EBRS)," which is supported by an educational grant from ETHICON and ETHICON ENDO SURGERY, both units of Johnson & Johnson Medical Products, a division of Johnson & Johnson, and ETHICON INC. and ETHICON ENDO-SURGERY, INC. divisions of Johnson & Johnson Inc. The primary objective of this initiative is to help practising surgeons improve their critical appraisal skills. During the academic year, 8 clinical articles are chosen for review and discussion. They are selected not only for their clinical relevance to general surgeons but also because they cover a spectrum of issues important to surgeons; for example, causation or risk factors for disease, natural history or prognosis of disease, how to quantify disease (measurement issues), diagnostic tests and the early diagnosis of disease and the effectiveness of treatment. A methodological article is supplied that guides the reader in critical appraisal of the clinical article. Both methodological and clinical reviews of the article are performed by experts in the relevant areas and posted on the EBRS Web site. As well, a listserv discussion is held where participants can discuss the monthly article. Members of the Canadian Association of General Surgeons and the American College of Surgeons can access Evidence Based Reviews in Surgery through the Canadian Association of General Surgeons Web site (www.cags-accg.ca) or the American College of Surgeons Web site (www.facs.org). All journal articles and reviews are available electronically through the EBRS Web site. We also have a library of past articles and reviews that can be accessed at any time. Surgeons who participate in the monthly packages can obtain Royal College of Physicians and Surgeons of Canada Maintenance of Certification credits and/or continuing medical education credits for the current article only by reading the monthly articles, participating in the listserv discussion, completing the monthly online evaluation and answering the online multiple choice questionnaire. For further information about EBRS, the reader is directed to the CAGS or ACS Web site or should email the administrator, Marg McKenzie, at [email protected].
In addition to making the reviews available through the CAGS and ACS Web sites, 4 of the reviews are published in condensed versions in the Canadian Journal of Surgery and 4 in the Journal of the American College of Surgeons each year. We hope readers will find EBRS useful in improving their critical appraisal skills and also in keeping abreast of new developments in general surgery. Comments regarding EBRS may also be directed to [email protected].
Reference
1. Evidence-Based Medicine Working Group. Evidence-based medicine. JAMA 1992;268:2420-5.
*The Evidence Based Reviews in Surgery Group comprises Drs. J.S.T. Barkun, K. Brasel, T. Cogbill, S. Cutter, G.W.N. Fitzgerald, H.J.A. Henteleff, A.W. Kirkpatrick, S. Latosinsky, A. Maclean, H.M. MacRae, T.M. Mastracci, R.S. McLeod, L.A. Neumayer, S. Smith, M.C. Taylor and Ms. M.E. McKenzie.
Correspondence to: Ms. Marg McKenzie, RN, Administrative Coordinator, EBRS, Mount Sinai Hospital, 60 Murray St. L3-010 PO Box 23, Toronto ON M5T 3L9; fax 416 586-5932; [email protected]
J can chir, Vol. 50, N
o
3, juin 2007
Selected Article
Belda FJ, Aguilera L, García de la Asunción J, et al. Supplemental perioperative oxygen and the risk of surgical wound infection. A randomized controlled trial. JAMA 2005;294(16):2035-42.
Abstract
Objective: Does supplemental perioperative oxygen reduce the risk of surgical wound infection after colorectal surgery? Design: Randomized controlled trial. Setting: Multicentre trial that included 14 hospitals in Spain. Patients: 300 patients aged 18–80 years who underwent elective colorectal resection. Patients who had surgery performed laparoscopically or who had minor colon surgery were excluded. Intervention: Patients were randomly allocated to either 30% or 80% fraction of inspired oxygen (FiO2) intraoperatively and for 6 hours postoperatively. Anesthetic treatment and antibiotic administration were standardized. Main Outcome Measure: Surgical site infection (SSI) as defined by the Center for Disease Control. Results: SSI occurred in 35 of 143 patients (24.4%) who were administered 30% FiO2 and in 22 of 148 patients (14.9%) who were administered 80% FiO2 (p = 0.04). The risk of SSI was 39% lower in the 80% group (relative risk [RR], 0.61; 95% confidence interval [CI], 0.38–0.98) versus the 30% FiO2 group. Conclusions: Patients receiving supplemental oxygen have a significant reduction in risk of surgical site infection.
Commentary
Surgical site infections, although usually thought of as relatively minor complications, do increase the risk of patient mortality. 1 In addition, they significantly increase hospital length of stay and healthcare costs. 2 Because they are relatively commonplace, they have become a focus for international quality improvement activities. This study evaluated whether a simple intervention, the use of supplemental perioperative oxygen, could decrease the risk of surgical site infection in patients undergoing colorectal surgery. 3
The hypothesis is that oxidative killing by neutrophils is dependent on tissue oxygen partial pressure, which is increased by supplemental oxygen. 4 Local and systemic warming, which also decreases surgical site infection, increases tissue oxygen tension. 5 One randomized, controlled trial administering 80% oxygen during the operation and for 2 hours postoperatively showed a 50% decrease in wound infection rate, 6 while a second trial had contradictory results, showing the risk of infection more than doubled with perioperative supplemental oxygen. 7
This was a multicentre trial; randomization was stratified by study centre and was performed with computer-generated codes maintained in opaque envelopes, opened after the induction of anesthesia. Three hundred patients were enrolled, with 150 in each arm. Four patients were enrolled in error, having met exclusion criteria (2 had low preoperative albumin and 2 underwent laparoscopic operations); 5 were withdrawn due to incomplete data. Patients, surgeons and investigators were blinded to treatment. Care was taken to ensure that the surgical team was blinded; measures included cardboard covers on the digital readout of the anesthesia machine and placing the anesthetic and postoperative records in a sealed envelope after patients' 6-hour stay in the postoperative care area. These records were not available to the treating surgical team. Care was standardized, particularly those aspects known or suggested to affect wound infection: administration of mechanical bowel preparation, use of intravenous antibiotics, amount of fluid administered and degree of pain control. Antibiotics active against colonic and skin flora were standardized and were given 60–90 minutes before incision. Fluid was given on a weightbased regimen. The anesthesiologist responsible for intraoperative care and for care during the first 6 postoperative hours was not blind to treatment.
The groups were similar in all respects, except for the lower number of women in the experimental group (48% v. 64%). Because male sex has been associated with an increased risk of infection, the sex difference in the groups may be a potential conservative bias, increasing confidence in the intervention.
Patients were excluded if they had diabetes mellitus and were taking either oral hypoglycemics or insulin. They were also excluded if they were malnourished, with a serum albumin < 30 g/L or had weight loss > 20% in 6 months, had HIV, or had a leukocyte count < 2500 cells/mL. Laparoscopic cases were excluded, as were minor cases expected to last < 1 hour. Most of the patients did not smoke and were relatively healthy as evidenced by an American Society of Anesthesiologist (ASA) class II; the underlying diagnosis was cancer in just over 85%. Most of the patients underwent sigmoid colectomy or right or left hemicolectomy.
The primary outcome was surgical site infection, as defined by the Center for Disease Control. This definition includes all infections within 30 days of an operation; the definition of infection is met by pain or tenderness, redness or heat accompanied by opening of the wound by the surgeon, purulent drainage, positive culture or wound infection otherwise diagnosed by the surgeon. Surgical site infection was also defined by the ASEPSIS score (additional treatment, serous discharge, erythema, purulent exudates, separation of deep tissues, isolation of bacteria and duration of hospital stay). Wounds were observed for 14 days, which will underreport surgical site infections by 15%–25%. Secondary outcomes included time to bowel function, first
Brasel et al
solid food intake, walking, date of staple removal and readmission rate.
All cases were standard colorectal operations performed by general surgeons. The baseline surgical site infection rate, on which the study was powered, was estimated to be 25%. Although the authors quote that an acceptable surgical site infection rate for colorectal surgery is up to 36% in high-risk patients, they excluded many of these high-risk patients (those who were malnourished or who had diabetes) from the study. Based on data from the National Nosocomial Infections Surveillance System, the expected surgical site infection rate is 4%–12% in an appropriately prepped colon operation (clean contaminated case). The upper 90% confidence limit for wound infection after colorectal surgery in the highest risk group reported in the NNIS data is 23%. The infection rates found in the previous trial supporting the use of perioperative oxygen in colorectal surgery were 5% and 11%. 6
In this study, treatment with FiO2 at 80% reduced surgical site infection from 24.4% to 14.9%; the relative risk of infection for the experimental group was 0.61. The 95% confidence interval (CI) was wide (0.38–0.98), so the estimate of effect was relatively imprecise. Owing to incomplete follow-up data in 5 patients, the relative risk was recalculated, assuming none of these patients developed a wound infection. Four of these patients were in the control group and 1 was in the experimental group. This resulted in a relative risk of infection for experimental treatment of 0.62. The 95%
CI using this assumption included 1, so the difference would not be statistically significant with this assumption. Assuming all 5 of these patients developed a surgical site infection, the relative risk of infection for experimental treatment would be 0.58, with a CI of 0.37–0.92.
The evidence supports the use of intraoperative supplemental oxygen continued for 6 hours postoperatively. The conclusions are limited to a relatively healthy population undergoing colorectal surgery for cancer. There have been 2 other trials. One trial was positive (SSI rates of 11.2% in the 30% FiO2 group v. 5.2% in the 80% FiO2 group). 6 The second showed that the 80% FiO2 group actually did worse (25% v. 11% SSI rates respectively). 7 A heterogeneous patient population, lack of standardization of antibiotic administration and retrospective determination of surgical site infection in the latter trial might have confounded the results.
Appropriate prophylactic antibiotics given at the right time, avoiding shaving, maintaining normothermia and maintaining normoglycemia, are all part of decreasing the risk of surgical site infections. The evidence supporting these interventions is stronger than the body of evidence supporting the use of supplemental oxygen. In general, widespread adoption of clinical practice change requires a preponderance of evidence. However, there is little cost and no risk to the administration of perioperative supplemental oxygen. Given that the intervention makes sense from a biological and scientific perspective, being easy to perform and relatively noninvasive, practical, and with an excellent risk:benefit profile, incorporating it into current quality improvement activities aimed at reducing surgical site infection should be relatively straightforward.
Competing interests: None declared.
References
1. Kirkland KB, Briggs JP, Trivette SL, et al. The impact of surgical-site infections in the 1990s: attributable mortality, excess length of hospitalization, and extra costs. Infect Control Hosp Epidemiol 1999;20:725-30.
2. Bratzler DW, Houck PM, Richards C, et al. Use of antimicrobial prophylaxis for major surgery: baseline results from the national surgical infection prevention project. Arch Surg 2005;140:174-82.
3. Belda FJ, Aguilera L, García de la Asunción J, et al. Supplemental perioperative oxygen and the risk of surgical wound infection: a randomized controlled trial. JAMA 2005;294:2035-42.
4. Babior BM. Oxygen-dependent microbial killing by phagocytes (first of 2 parts). N Engl J Med 1978;298:659-68.
5. Kurz A, Sessler DI, Lenhardt R. Perioperative normothermia to reduce the incidence of surgical-wound infection and shorten hospitalization. Study of Wound Infection and Temperature Group. N Engl J Med 1996;334:1209-15.
6. Pryor KO, Fahey TJ III, Lien CA, et al. Surgical site infection and the routine use of perioperative hyperoxia in a general surgical population: a randomized controlled trial. JAMA 2004;291:79-87.
7. Greif R, Akca O, Horn EP, et al. Supplemental perioperative oxygen to reduce the incidence of surgical-wound infection. Outcomes Research Group. N Engl J Med 2000;342:161-7.
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MAHARASHTRA ELECTRICITY REGULATORY COMMISSION
World Trade Centre, Centre No.1, 13th Floor, Cuffe Parade, Mumbai - 400 005 Tel. No. 022 22163964/65/69 – Fax 022 22163976
[email protected]
Website: www.mercindia.org.in
Case No. 93 of 2010
In the matter of
Application of Maharashtra State Electricity Distribution Company Limited for withdrawal of load shedding of Divisions A, B, C, D groups of Other Region area
Shri V.P. Raja, Chairman Shri Vijay L. Sonavane, Member
Maharashtra State Electricity Distribution Co Ltd.
Registered office: Prakashgad, Bandra (East), Mumbai 400 051
ORDER
Dated: 20th October, 2011
Maharashtra State Electricity Distribution Co Ltd. (MSEDCL) submitted a petition on December 2, 2011, dated December 1, 2010 for withdrawal of load shedding of Divisions A, B, C, D groups of Other Region area.
2. MSEDCL submitted that due to the extended rainy season the power demand was reduced drastically and MSEDCL had switched over to Scenario III from Scenario IV of load shedding protocol from November 21, 2010. Further, even though Scenario III was implemented, MSEDCL was withdrawing the load shedding almost daily for all groups in sequence. Moreover, the balance water available for Koyna Hydro Generation was considerably higher compared to the previous year and power was available in market at reasonable rates compared to previous year. Considering this power scenario, MSEDCL had planned to withdraw Load Shedding of A,B,C,D groups of Other Region area by procuring additional power of 200 MW, round the clock, from January 2011 to June 2011
……….Applicant
and 200 MW during peak hours from March 2011 to June 2011. MSEDCL proposed that Load Shedding for E & F group divisions of Other Region area, Agricultural dominated region, Ag LM Scheme and Industries be implemented as per existing Load Shedding schedule. When the loss level of divisions of E & F group was reduced to the level of divisions of D group or less than D group, the same facility was proposed to be extended to them also. For mixed Ag feeder, when Agricultural and Gaothan feeders are separated, the facility of withdrawal of load shedding was proposed to be extended to Separated Gaothan feeders depending upon their respective loss level group A,B,C or D. There were 83 divisions covered under A, B, C and D groups of Other Region area.
3. The prayers set out in MSEDCL's petition were as under:
"…..
a) To Withdraw the load shedding of Divisions of ABCD groups of other Region area
b) As and when loss level of divisions of E& F group is reduced to D group or less than D group , the same facility will be extended to them also.
c) For mixed Ag feeder , when Agricultural and Gaothan feeders are separated , the facility of withdrawal of load shedding will be extended to Separated Gaothan feeders depending upon their respective loss level group A,B,C D
d) The performance of the divisions is quarterly reviewed and the DCL groups A to F are decided accordingly. The facility of withdrawal of load shedding to A,B,C,D groups will be given accordingly.
e) The Hon'ble commission may please condone any errors/omission and opportunity be given to rectify the same and permit MSEDCL to submit additional Data, if required."
4. A hearing was held on January 5, 2011, along with a hearing in the matter of Case 76 of 2010, wherein MSEDCL had sought to continue Zero Load Shedding in the Headquarters of Revenue Divisions in MSEDCL Licence Area for one year from 1st December 2010.
5. Shri Pratap Hogade, President, Maharashtra Veej Grahak Sangathana (MVGS), wrote a letter to the Commission on December 20, 2010, submitting a rejoinder in the Case. The Commission scheduled a hearing on January 5, 2011, to hear intervention applications filed in Cases 76, 93, and 94 of 2010 by Shri Pratap Hogade, MVGS.
6. During the hearing, Dr. Ashok Pendse, and Dr. S. L. Patil (of Thane Belapur Industries Association), Consumer Representatives, were present. Dr. Pendse drew attention of the Commission to MSEDCL's petition in the present Case, wherein MSEDCL proposed to withdraw load shedding of Divisions A, B, C, D groups of Other Region area by procuring 200 MW of additional power round the clock and another 200 MW during peak hours, with no proposal for recovery of any Relaibility Charge. Therefore, Dr. Pendse submitted that MSEDCL's approach in the present Case was different from Case 76 of 2010, where MSEDCL had proposed to levy Reliability Charges for withdrawal of load shedding in certain areas. The Commission directed MSEDCL to respond with rationale to the observation made by Dr. Pendse.
7. However, the Commission received a letter from MSEDCL on January 4, 2011, informing the Commission that it had decided not to pursue the proposal of withdrawal of load shedding of A, B, C, D groups of Other Region area and accordingly requested the Commission to adjourn the hearing in Case 93 of 2010 scheduled on January 5, 2011.
8. During the hearing on January 5, 2011, MSEDCL reiterated its submission that it was no longer pursuing the proposal of withdrawal of load shedding of A, B, C, D groups of Other Region area and requested the Commission to adjourn the hearing in Case 93 of 2010.
9. Shri. Pratap Hogade vide his letter dated December 20, 2010 and during the hearing of January 5, 2011 submitted that MVGS supported the proposal of MSEDCL for withdrawal of load shedding in Case No. 93 of 2010 and 94 of 2010. However, Shri. Hogade objected on the assumption adopted by MSEDCL. MSEDCL has assumed only 8 hours of supply for Single Phasing and Separate Gaothan Feeder schemes, which he observed was not complying to the Commission's Order dated February 20, 2007 in Case No. 78 of 2006. The Commission in the said Order had directed that there should be 10 hours of supply for the Single Phasing and Separate Gaothan Feeders. Shri. Hogade submitted an objection that was multiplicity of proceedings as the Order in Case No. 81 of 2010 was pending. It was also submitted that the Commission should look in depth into the demand for electricity and how the availability of electricity is decided. In conclusion, Shri Hogade submitted that the Commission shall not dismiss the Case, suo-moto. Further, MVGS, vide its letter dated December 25, 2010, had submitted its intervention application in the present Case.
10. MVGS essentially submitted that MSEDCL's petition was discretionary and against the protocol fixed by the Commission. According to the protocol MSEDCL could have volunteered to reduce the load shedding opting for Option 2 or Option 1 of the protocol. On January 12, 2011, the Commission received a letter from Thane Belapur Industries Association, Consumer Representative, in support of the rejoinder submitted by MVGS. In the meantime the Commission decided to hear the matter again on April 11, 2011 and accordingly intimated MSEDCL and Consumer Representatives for the same through its Notice dated March 31, 2011.
11. On April 4, 2011, the Commission received a submission from MSEDCL, under affidavit, essentially submitting that there was no further necessity of hearing of the original petition submitted for withdrawal of load shedding in A, B, C, D groups of Other Region area as MSEDCL planned for complete withdrawal of load shedding by procuring short-term power and UI power from Central Grid whenever frequency profile was better and through load relief from Load Management Schemes. Accordingly, MSEDCL submitted that complete load shedding was withdrawn except the load shedding to Agriculture Load Management Schemes and weekly staggering day to industrial consumers. However, due to transmission and local distribution network constraints, the load shedding of 2.00 to 5.45 hours in Other Region and 8.30 to 11.00 hours in Agriculture dominated areas were implemented in Dhule, Babhaleshwar and Solapur and some part of Marathwada region of about 400 to 500 MW.
There were further details in the submission depicting load reliefs obtained under Load Management Schemes and load shedding schedules followed as per Circular 33 dated November 21, 2010. MSEDCL submitted that it was planning to withdraw the ZLS model from July 2011 as power purchase agreements were finalised up to June 201. It stated that it had further planned to withdraw load shedding from ZLS area (Revenue Headquarters) also. However, MSEDCL submitted that it was in the process of withdrawing load shedding on trial basis by procuring short term power but it was not a commitment.
12. During the hearing of April 11, 2011, the Commission enquired the reasons for MSEDCL not to shift to Scenario 1 and Scenario 2 of Principles and Proctocols of Load Shedding (PPLS), if the demand-supply gap was less. The Commission also enquired whether there was system constraints for implementing PPLS. However, MSEDCL has not provided any justification for the same, except reiterating that it intended to withdraw its petition in Case 93 of 2010 for withdrawal of load shedding in A, B, C, D groups of Other Region area.
13. In regard to the observations of Shri Hogade, mentioned in para 9, it may be noted that the Commission had issued its order in Case 81 of 2010 on May 9, 2011. Also, the order in Case 94 of 2010 was passed by the Commission on August 23, 2011.
14. Admittedly, MSEDCL has withdrawn / cancelled its proposal for withdrawal of load shedding in the areas of A, B, C, D groups in Other Region. Hence, none of the prayers made in the present petition survive. Accordingly, the petition of MSEDCL in Case No. 93 of 2010 stands disposed of.
```
Sd/- Sd/(Vijay L. Sonavane) (V.P. Raja) Member Chairman
```
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What Health Insurance Exchanges or Choice Pools Can and Can't Do About Risks and Costs *
By Rick Curtis and Ed Neuschler
Introduction
Policymakers are often attracted to purchasing pools or exchanges as a way to make health insurance less expensive for individuals and small employers. A common assumption is that they could aggregate a large number of small purchasers and thus realize administrative economies of scale and negotiate favorable rates with health plans. For small-firm workers, an exchange or choice pool could also offer something not normally available in the small-employer market—choice of competing health plans. For individual purchasers, who already can choose among health plans, pools could help to simplify comparison shopping.
Unfortunately, establishing a purchasing pool or exchange does not automatically produce the same "market clout" as a large employer. RAND studied the three largest small-group health insurance worker choice pools begun in the mid-1990s and found that they did not reduce smallgroup market health insurance premiums, nor did they raise small-business health insurance offer rates. 1 Other kinds of voluntary "pools" are more prevalent, but they generally have not functioned as assertive purchasers and have not reduced costs. In 1997, one out of three small employers reported they participated in some type of (voluntary) pool, such as an association plan arrangement, business coalition or other multiple employer arrangement. But their costs and coverage rates were no different than comparable employers who purchased coverage directly. 2 For example, the Health Insurance Plan of California (the HIPC, later operated by the Pacific Business Group on Health as "PacAdvantage"), which offered individual workers choice of competing health plans, negotiated and offered lower rates than had been available in the outside market at its inception in the early 1990s. Yet by 1998, analysts found no evidence that its rates were still lower than the outside market. Rather, the data suggested they were slightly higher. 3 This was perhaps inevitable given that group health insurers offered health rating discounts to lower risk groups while the HIPC did not. Due to declines in enrollment and the risk profile of the original PacAdvantage pool, PBGH/PacAdvantage established a separate new small-employer pool, "Paired Choice," and adopted (limited) health rating. The goal was to gain new enrollment of a normal risk-profile population. 4 However, that attempt ultimately was not adequate to overcome the adverse-risk death spiral of its existing enrollment, and PacAdvantage ceased all operations in December 2006. 5
This issue brief begins by explaining why pools are not the same as large employer groups and then goes on to explore the risks any voluntary purchasing pool faces and the conditions necessary for a pool to overcome those obstacles and succeed.
* This paper is a modest revision and updating (in May 2009) of an Insurance Market Issue Brief originally prepared by the authors for and issued by the California HealthCare Foundation in November 2005 under the title, "What Health Insurance Pools Can and Can't Do."
Anatomy of a Pool
Many policymakers would like to give little purchasers—individuals and small employers—the same market advantages that large employers have. But merely establishing a pool or exchange does not automatically make it a big purchaser. Understanding why requires exploring the two key differences between a large employer and a pool composed of small employers or individuals: the stability of the group, and its expected risk profile.
Group Stability
As known as cohesion, group stability is what keeps a group together and forces a health plan to negotiate with the group as a whole, rather than offer separate deals to selected members (or potential members) of the group. A group has cohesion if its members have strong incentives to remain part of the group. With respect to employer-sponsored health plans, group stability and cohesion result from the fact that the employer's contribution is generally not available unless a worker participates in that employer's plan. Buying coverage elsewhere means foregoing a significant benefit and, most likely, paying a considerably higher price.
Similarly, when government programs, like state S-CHIP programs or Commonwealth Care in Massachusetts, offer coverage by contracting with health plans, they present a large group that the health plans have no other way to reach, because recipients cannot use their large public subsidy to buy coverage elsewhere.
Choice pool/exchange participation, on the other hand, has usually been voluntary. That is, individuals and small employers have the option of purchasing coverage either through the pool or directly from a health plan. Further, they can change their decision at any time. Obviously, they are likely to buy where they can get the best value.
To maintain stability and cohesion in this voluntary environment, and in the absence of other incentives, a pool would ideally be able to offer its members a lower price than the outside market. 6 If it cannot do so, and if lower risk groups and individuals can obtain a better deal in the outside market, they will do so. 7 The pool will be left with a higher-risk population than the outside market and, therefore, will be more expensive than the outside market, if it is able to operate at all. (This phenomenon is discussed in detail later in this brief.)
Even very large group purchasers cannot ignore the outside market if they allow any of their members to buy coverage there. For example, CalPERS (California's state employee plan) is the only choice for state employees but is available on an optional basis to local government entities. Until a few years ago, it offered the same premium prices in both northern and southern California localities, despite the fact that premiums in the outside market had risen less in the south. As a result, CalPERS was losing participation among the state's southern localities and was eventually forced to establish separate premium rates for the two regions.
Proponents generally assume that pools will be able to negotiate more favorable prices from health plans than are otherwise available, and that these lower prices will allow pools to attract and retain members. But there is a chicken-and-egg problem here. A pool cannot use market clout to negotiate lower prices from health plans unless it is large and cohesive, and no pool can
become large unless there is some compelling reason for people to obtain and retain health insurance through the pool rather than purchase it directly from health plans.
Further, most established health plans are unlikely to cooperate in helping a pool to become large. Why should they want to create a larger purchaser with more bargaining clout out of smaller, weaker employer groups or individuals? In general, health plans can better control their own enrollment and are in a better position to realize higher profits by dealing directly with small employers or individuals, particularly if the plan is already well established in those markets.
As a result of all these factors, voluntary pools/exchanges do not inherently or automatically result in the creation of strong, cohesive large groups.
Risk Profile
A group's risk profile is another factor affecting its ability to offer favorable health insurance prices. The risk profile is important because a large share of health care costs are generated by a relatively small number of people. As shown in Exhibit 1, only 5 percent of the population accounts for about half of total health care costs in any given year. And the 50 percent of the population that is most healthy accounts for a tiny portion of total costs.
Exhibit 1: Distribution of Health Care Expenditures Ranked by Total Payments for Health Services
| Percentile | Total Population, 2002 |
|---|---|
| Top 5 percent | 49 percent |
| Bottom 50 percent | 3 percent |
Source
: William W. Yu and Trena M. Ezzati-Rice. Concentration of Health Care Expenditures in the U.S. Civilian Noninstitutionalized Population. Statistical Brief #81. May 2005. Agency for Healthcare Research and Quality, Rockville, MD. (http://www.meps.ahrq.gov/papers/st81/stat81.pdf)
Because health care spending is so skewed, the average health insurance cost for a group depends more on who joins the group than on any other factor. As a result, health plans generally do not view groups that are formed for the purpose of purchasing health insurance as attractive customers. Absent other incentives, such groups are more likely to attract people who know that they need health care or who face higher prices elsewhere. They are also likely to have higher average costs than a group drawn randomly from the population.
Health plans offer better rates to "natural groups"—those that are constituted for purposes other than health insurance. If people's reasons for joining a group have nothing to do with health insurance or their perceived need for health care, and if the group is large enough, then health plans can be relatively confident that it will include a substantial share of low-risk individuals to balance out the expected costs of high-risk members.
A single large employer is a natural group and constitutes an attractive pool of people for a health plan to insure because employees are by definition healthy enough to work and because the employer's contribution is generally large enough to motivate almost all employees to participate in the health plan, even if they are in perfect health. 8
By contrast, individuals are not groups at all, and any given small employer is much more likely than a large employer to have a disproportionate share of low or high risks. Further, their reasons for seeking health coverage may have something to do with their expected health care costs.
More importantly, any aggregation of small employers or individuals, each of whom have choices about where, how, and whether they obtain health insurance, is not a natural group if it was formed for the purpose of purchasing health insurance and does not offer other inherent advantages to its members.
Challenges Purchasing Pools Face
Market Rules and Risk Selection
The market environment within which an exchange or pool operates helps to define the challenges it faces. Where a state's insurance market rules allow health plans to deny individuals coverage, as most states do, or individuals or small groups to be charged more due to health status, as most states allow (though only to a limited extent for small employers), 9,10 policymakers have been tempted to establish purchasing pools that are required to accept all applicants and not consider health status or claims experience in setting premium rates.
But requiring an exchange or pool to accept some applicants on more preferential terms than health plans in the rest of the market puts the exchange/pool at an inherent disadvantage. For example, if the exchange and only the exchange is required to charge the same rates to all participants, regardless of their risk profile, then the exchange will inevitably be what is sometimes referred to as a "risk magnet." Those who are healthy and can obtain a lower price for comparable coverage elsewhere will do so, as illustrated in Exhibit 2. Those who present higher risks and would be charged more elsewhere will come to (and often be aggressively referred to) the exchange. This phenomenon is referred to as adverse selection. As a result, the exchange's costs will be higher, not lower, than those in the open market; and the exchange will enter a classic death spiral 11 and eventually fail—if it is able to begin operation at all. Due to this and similar well-intentioned, but unrealistic, policy constructs, this dynamic has played out many times in a number of states 12,13 .
The bottom line is that no exchange or pool can succeed unless it lives by the same rules as the outside market or unless the pool/exchange, like a large employer, is endowed with compensating characteristics.
Underwriting and Exchanges or Choice Pools
Underwriting is the process of deciding what premium rate to charge an applicant (and, in the case of individuals only, whether to accept the applicant for coverage at all). In states where health plans can now use health status as part of their underwriting, one way to level the playing field between pools and the outside market would be to eliminate use of health status underwriting both in the pool and in the outside market. Another, discussed later in this brief, would be to make subsidies available to the pool or to its members. A third would be to allow pools to underwrite to the same extent as health plans in the outside market. This last approach would not meet a policy goal of lowering the differential prices that high-risk groups must pay for coverage, but it could make the pool viable.
Where a pool contracts with a single health plan, allowing the pool to use health underwriting could be workable—the contracting health plan would simply apply its own health-underwriting methodology. Where a pool offers its members a choice among competing health plans, however, the situation becomes more complex. A choice pool or exchange that competes with health plans that can underwrite or selectively market has three dubious choices:
- Do not underwrite at all. Absent other compensating advantages (such as outside subsidies), a pool that does not underwrite at all will suffer severe adverse selection as outlined above. Such a pool may not even be able to begin offering coverage in the first place, because health plans will recognize what is going to happen and simply refuse to contract with the pool.
- Self-underwrite. Alternatively, a pool could carry out underwriting itself. Because health plans would be unwilling to share their best underwriting insights with their competitors, this underwriting process would inevitably be a sort of compromise (or lowest common denominator) approach among the several contracting health plans. Though better than nothing, such a do-it-yourself solution would likely not be good enough to compete with outside-market competitors who are more adroit and aggressive at risk selection. Adverse selection leading to a death spiral would remain the likely outcome, though perhaps at a slower pace than if the pool did not underwrite at all.
- Let each participating health plan underwrite each individual applicant. Under this approach, the pool would allow each participating health plan to underwrite each individual applicant. This would mean that pool members would not know up front the premium prices they would be charged by each of the participating health plans. Instead, they would have to provide personal health information in order to receive a premium quote from each plan they were interested in. Thus, consumers could not readily compare prices among competing health plans, defeating one of the basic purposes of choice pools. In effect, this approach would recreate the dynamics of the individual market, including its administrative costs and consumer information problems, with the added costs of pool administration.
Previous examples of worker-choice pools (for small employers) that failed in environments in which health plans serving the outside market were allowed to vary rates based on health underwriting include:
- The Texas Insurance Purchasing Alliance, a private non-profit authorized by the state in 1993 that operated until July 1999;
- Caroliance, which was essentially run by the State of North Carolina with local business association sponsors and enrollment and which operated from 1995 to September 2001; 14 and
the Illinois Manufacturers' Association in late 1998 that operated for only a short time. 15 A pool in the Chicago, Illinois area launched by
ich does s eans at the end of 2006, largely due to the high cost profile of its enrollees from previous years. 18 A small-employer worker-choice pool has done very well over time in Connecticut, wh not allow health rating in that market. The Health Connections program offered by the Connecticut Business and Industry Association has the highest small-employer-market penetration percentage (over 10 percent) of any worker-choice pool. 16 By contrast, California' small-group market rules allow +/- 10 percent rating flexibility for health status, which m that plans can change more than 20% more for high-risk groups than for other employer groups. 17 Despite significant last-ditch efforts to adjust its policies, including (a simplified version of) health rating, PacAdvantage closed
Health Plan Participation and Perspectives
me, such as provider-system-based plans, that do not have established marketing arrangements.) Where health insurance pools or exchanges are an optional coverage venue, and there are no incentives or requirements for their use, exchanges that are expected to offer licensed health insurance plans need those plans more than the health plans need the exchange. Without health plans, pools/exchanges have no coverage to offer. Without pools/exchanges, most health plans serving the individual or small-group markets already know how to reach their target customers. (An exception would be new health plans or plans trying to serve these markets for the first ti r to n died, however, basic business considerations once again became primary for health plans. When a number of purchasing pools were established in the early 1990s, some (such as the Health Insurance Plan of California, later PacAdvantage) had little trouble attracting health plan participation. Some health plans saw such pools as having the potential to bring large-employe attributes to small employers. More generally, reform was in the air, purchasing pools looked like they might be the wave of the future, and health plans did not want to be left out or appear be against even relatively market-oriented reforms. And some wanted to demonstrate that a optional small-employer pool would work in lieu of proposals for mandatory alliances or a single-payer system. After health reform
hole employer groups over enrollment through such purchasing pools. Their reasons include: Most health plans strongly prefer direct contracts with w
- Maintaining their business role. Many plans do not want to cede—to pools or to anyone else—administrative functions such as premium collection and enrollment. Partly, they are concerned about accuracy and losing control where they are potentially liable. But they are also concerned about losing revenues and functions that are a key component of their resource base and their value-added role as a business. Also, health plans want to retain control of any aspect of the insurance relationship that directly affects their finances, particularly rating and underwriting. When plans do participate in optional smaller pools, these business motives lead them to maintain all or most of these functions. As a result, pool administration becomes duplicative rather than cheaper.
Moreover, from a strategic standpoint, some large health plans would like to be viewed as offering choice themselves and do not want to cede this role to purchasing pools.
- Resistance to being "commoditized." Health plans generally do not like competing head-tohead on price for the same benefit package—a kind of competition some large employers and purchasing pools seek to foster. Instead, plans prefer to focus customers' attention on what they hope are unique and attractive aspects of their own benefit package.
- Fear of adverse selection where the pool, rather than the plan, controls marketing, eligibility, rating, enrollment, etc. This is a particular concern where the pool allows worker choice among multiple plans. Outside such a pool, the health plan knows that it will enroll all (or most) members of a given group, the healthy along with the less healthy, so that it can spread high-cost claims over lower-cost members of a group. In a worker-choice pool, the plan is much less certain about the risk distribution of the individuals who will actually choose that plan. Plans also fear that, overall, purchasing pools will attract less healthy groups that can't get coverage elsewhere—at least not as easily.
For these reasons, health plans are reluctant to participate in a pool or exchange that largely competes against plans' own direct contracting with small employers or individuals. If they agree to participate, they likely will not offer lower prices to the pool/exchange than they charge for their outside business. Further, the general point made earlier is worth repeating: Most established health plans are unlikely to cooperate in helping a pool that competes for their direct enrollment. They generally have no desire to create a larger purchaser with more bargaining clout out of smaller, weaker employer groups or individuals.
To attract health plan participation, and to be in a position to negotiate with them, a pool or exchange has to be able to offer health plans a large, attractive and cohesive population—that is, a population with a relatively normal risk profile that the plans cannot access in any other way. The following sections explore when and how pools/exchanges could (or could not) attain the necessary market clout to succeed.
7
The Practical Role for Pools/Exchanges
Policymakers may want health insurance pools or exchanges to play a number of roles. They may be looked to as a vehicle to reach currently uninsured people; reduce premiums for current purchasers of insurance; offer a choice of health plans to workers in small businesses; make comparison shopping for coverage easier for individual purchasers; or some combination of these goals.
Even in a context of mandatory coverage, a pool that is an optional coverage alternative and has no inherent "glue" faces the same fundamental problems: an inability to offer health plans a large and cohesive population and the threat of unsustainable adverse selection. SB2, California's Health Insurance Act of 2003, would have required medium and large employers to either pay the state a fee or "play" by providing coverage directly. It would have created a purchasing pool as an access mechanism for workers and dependents of employers that chose to pay the required fee. However, analysis showed that the SB2 pool could not have survived on its fees alone unless those fees were based on the health status of each employer group's workers— an approach which seemed impractical in a pay-or-play environment. 19 Otherwise, additional funds would have been required.
State high-risk pools make coverage available to high-risk individuals who cannot obtain coverage in the individual market, to the extent that outside subsidies are made available to cover most of the excess costs.
The PacAdvantage small-employer choice-pool experience showed that, over time, such an exchange or pool is unlikely to survive where health rating is allowed in the outside market.
As this brief suggests, it seems highly unlikely that optional pools or exchanges, by themselves, can do much to reduce health insurance premiums. Some form of cohesion that makes the exchange or pool a viable group would be needed to give it sufficient bargaining power vis-à-vis health plans.
That cohesion could come in the form of public subsidies that are only available through the purchasing pool. The subsidy would serve as the glue that keeps the pool together. Just as large employer groups and public employee programs work because their employer contributions cannot be used to buy insurance elsewhere, a choice pool or exchange can work if a significant public subsidy is available only through the pool. The subsidy creates a sizable new group that health plans cannot reach in any other way, making the pool an attractive competitive opportunity for health plans.
The Massachusetts Connector's "Commonwealth Care" program for people under 300% of poverty has demonstrated how successfully this subsidy approach can be applied where there is no health rating (and an individual mandate). (This approach was also envisioned in California's 2007 reform legislation. 20 ) It is also worth observing that the Massachusetts Connector's "Commonwealth Choice" exchange for higher income individuals and unsubsidized small employers—which does not offer subsidies or lower-than-market prices)—has thus far realized only very modest enrollment.
Few if any policymakers would support spending significant public funds solely to make exchanges viable health insurance venues. But, where the policy goal is to cover uninsured lowincome populations, and policymakers are willing to fund subsidies for this purpose, exchanges could serve as an efficient and effective coverage vehicle.
Detailed consideration of how such subsidies might be structured is beyond the scope of this brief. The focus here is on the alternative roles pools or exchanges could be asked to play, assuming they have sufficient cohesion. The most important considerations include the extent of their purchasing role, including their ability to contract selectively, and whether the pool/ exchange offers its members a choice among competing health plans. Related factors include what rating rules and limitations apply, how large the pool/exchange is, and how many are permitted to serve each geographic area. These design dimensions interact and affect each other.
Extent of purchasing role
The argument that an exchange or pool has greater purchasing power than individuals or small employers, and thus should be able to obtain more affordable health coverage than their members could attain on their own, presumes that the pool will act as an active purchaser, by negotiating the best possible value for its members. (As discussed earlier, a pool can feasibly play this role only if it has strong cohesion.)
But that is just one end of a continuum of possible purchasing roles for pools/exchanges. At the other end is the neutral "clearinghouse," which simply makes available information on participating health plans' rates and benefits and does not negotiate with health plans in any way. (For examples, Florida's failed Community Health Purchasing Alliances were set up in this way.) A clearinghouse simply aims to make it easy for individuals or small-firm workers to obtain information about the coverage choices available to them and to select and enroll in their preferred plan. Aside from some possible administrative economies from centralized electronic enrollment and premium collection, any savings under this approach will derive from more price competition among health plans resulting from better consumer information.
In the middle of the purchasing-role continuum are pools that act to establish a marketplace structure for the benefit of their members, without actually negotiating premium rates. They might be called "market organizers." Many variations are possible, but one example would be a pool that specified several benefit packages it wished to offer its members and solicited prices from health plans for those packages. The pool would not negotiate with health plans, but simply post each participating plan's premium price for each package. However, the pool would establish other guidelines that health plans would have to comply with in order to be offered through the pool. Such guidelines might, for example, limit health plans' marketing approaches to pool members or give the pool approval authority over health plans' marketing materials. Both market organizer and active purchaser pools might also operate a risk-adjustment mechanism for participating health plans, as PacAdvantage does. 21
Selective contracting
To be an active purchaser, a pool must have the authority to contract selectively—to refuse to contract with any particular health plan and cancel or terminate health plan contracts. The goal of a clearinghouse, on the other hand, is to make it easy for individuals to choose among all the health plans available, so it does not need or want the ability to exclude health plans based on price. Market organizers are in between. They clearly need the authority to exclude health plans that refuse to meet their terms, but they may or may not need the ability to exclude health plans on the basis of price.
Most states that have previously authorized purchasing pools have given them the authority to contract selectively. But states with tight rating rules often do not permit health plans to charge pools different prices than they charge in the regular small-group or individual market (as in New York and Connecticut). Colorado allowed price differentials for pools only to the extent they could be justified on the basis of differential administrative costs, which had to be documented by health plans. (Not surprisingly, this requirement resulted in health plans arguing for higher rather than lower rates for the pool.)
Small-employer purchasing pools in California, such as PacAdvantage, were authorized to contract selectively. Because they could offer benefit designs that were not available to small employers outside the pool, they could also negotiate prices. 22 California Choice, the other entity offering a choice of carriers to small employers in California, does not operate under and is not subject to the purchasing alliance statute. Instead, it has special approval from the Department of Managed Health Care to act as a solicitor and third-party administrator with respect to a multiple carrier or health care service plan marketing cooperative in which each carrier or health care service plan contracts directly with subscribing groups or individuals. 23
Choice of competing health plans
The primary goal of a clearinghouse is to provide choice among competing health plans. Without choice, it has no reason to exist. Active purchasers, on the other hand, need to limit their number of contracted health plans in order to negotiate affordable prices. Some may prefer to select just one health plan in order to get the best possible price. Informed choice, competition based on consumer choice, and consumer protection are the primary focuses for market organizers. Thus, they most likely will prefer to offer their members at least a limited menu of options from which to choose.
Rating rules and limitations
In order to permit pools/exchanges to negotiate rates with health plans, health plans serving pools would have to be exempt from any state law that would prevent a licensed health insurer from offering a pool a different rate than it offers in the direct market. Within the exchange, health plans could not use rating factors that are disallowed in the regular (non-pool) insurance market and, with respect to allowable factors, could not vary premiums by more than is permitted in the outside market. However, exchanges would be free to establish more restrictive rules internal governing premium variation, if desired.
For example, in a state that permitted health rating, an exchange that was the exclusive venue for substantial public subsidies (and thereby had a source of cohesion) might decide not to use health rating for that population. Doing so could greatly simplify administration, make it easier for members to compare health plan prices (i.e., prices could be readily published and compared),
and make coverage more affordable for members with existing health conditions. A pool offering worker choice of competing plans could use a risk-adjustment mechanism to compensate plans that enrolled more expensive populations, as PacAdvantage did. 24
Number of Pools
In terms of administrative costs, a single, exclusive exchange (nationally or in each state) would likely be the most efficient solution. But the narrower the choice of health plans the exchange offers, the harder it is not to allow an outside market or competing exchanges. Assuming the exchange is the exclusive venue for subsidies, health plans will argue they have been denied access to subsidy recipients unreasonably, and the subsidy recipients themselves may feel their choices have been unnecessarily restricted.
The administrative-cost argument for a single pool is easier to sustain when the pool is a clearinghouse that offers access to all, or most, of the health plans serving the geographic area that meet qualifying conditions.
Other Key Factors for Success
The selection and cohesion issues discussed above are essential and interrelated factors that affect any exchange's chances for success. If there is a strong source of cohesion for the pool, such as a subsidy for low-income participation, selection concerns are greatly reduced, at least for the subsidized population. But selection problems and issues will emerge when employees can choose among competing plans or benefit levels. Therefore, it is vitally important that any exchange have the latitude to develop and modify at least some pertinent program rules.
It is equally essential that the exchange be able to use the same factors in establishing premium rates for any unsubsidized participants as health plans in the outside market. That is, there needs to be a level playing field with respect to rating of unsubsidized people, both inside and outside the exchange.
Though issues affecting selection and cohesion are the most crucial, other factors are also important in determining a pool's chances for successful operation. These include a sensible and workable target population; the credibility of the pool's sponsoring organization to its target population; 25 both the reality and the appearance of stability; and competent, responsive operations, without which no program will survive for very long.
Conclusion
Health insurance choice pools or exchanges can be useful as venues to help achieve coverage and cost goals. Yet merely establishing or designating them holds no hope for reducing the number of uninsured or the costs of coverage available to individuals or small employers. If the goal is for the exchange to achieve economies of scale and/or to negotiate or select plans for better value, it will need the "glue" or cohesion to attract and retain a large enrollment base.
Such goals can be achieved if the pool represents a large natural group that health plans can effectively reach only through the pool, making it similar to a very large employer. One way to create such a group would be to channel subsidies for low-income workers and families, or lowwage employer groups, exclusively into coverage through the pool. In turn, a stable exchange can, if desired, efficiently perform a number of administrative roles that meet the needs of both its participants and the state.
Endnotes
1 Stephen H. Long and M. Susan Marquis, "Have Small-Group Health Insurance Purchasing Alliances Increased Coverage?" Health Affairs 20:1 (January/February 2001), pp. 154-163.
2 Stephen H. Long and M. Susan Marquis, "Pooled Purchasing: Who Are The Players?" Health Affairs 18:4 (July/August 1999), pp. 105-111. (Exhibit 1)
3 Jill Mathews Yegian, Thomas C. Buchmueller, Mark D. Smith, and Ann F. Monroe, "The Health Insurance Plan Of California: The First Five Years," Health Affairs 19:5 (September/October 2000), pp. 158-165.
4 Personal communications with PacAdvantage managers.
5 PacAdvantage press release, August 11, 2006.
6 A pool that offers other desirable features, such as worker choice of competing health plans and good customer service, should be able to maintain stability and cohesion even if its prices are only comparable to (rather than lower than) prices in the outside market. The Health Connections program offered by the Connecticut Business and Industry Association is one example. But, if its prices are higher than the outside market, such a pool will suffer adverse selection as described here.
7 Most States allow health plans to consider health status in setting premium rates for individual purchasers; and many, including California, allow health plans to do so in the small-group market, although the extent of variation may be restricted (as it is in California). Where such "health rating" is allowed, healthy people and healthy groups are offered lower rates.
8 Particularly for smaller employers, health plans can and do protect themselves by requiring that a specified percentage of an employer's workers (who are not covered elsewhere, such as through a spouse's employer) must participate in the plan. If that participation percentage is not reached, a group plan will not be issued.
9 For example, California allows health plans to deny coverage to an individual based on the applicant's health status unless the applicant has recent qualifying group coverage. California also does not limit how much a health plan can vary premiums for such individuals based on health status. California HealthCare Foundation, Insurance Markets: Rules Governing California's Individual Insurance Market. Revised April 2005. (http://www.chcf.org/topics/view.cfm?itemID=20739)
10 Under both federal and state law, small-employer groups cannot be denied coverage due to health status, but the premiums they are charged can vary. For example, California limits premium variation for small employers to at most 10 percent above or below a health plan's "standard employee risk rate," which can be based only on age, family size and geographic location. Other rating factors can be used but cannot result in a premium that is more than 10 percent above or below the standard rate. California HealthCare Foundation, Insurance Markets: Rules Governing California's Small Group Health Insurance Market. June 2003. (http://www.chcf.org/topics/view.cfm?itemID=20740)
11 A "death spiral" begins with adverse selection, which leads to premium increases, which drive away the healthiest remaining pool members, leading to more premium increases. Eventually, only the high-risk,
high-cost subscribers remain in the pool, at unsustainably high premiums, and the pool fails unless it has access to funds other than premiums.
12 Elliot K. Wicks, Mark A. Hall and Jack A. Meyer, Barriers to Small-Group Purchasing Cooperatives, Economic and Social Research Institute, March 2000.
13 Another example of unsustainable preferential terms would be requiring pools, but not the outside market, to accept self-employed individuals on the same terms as employer groups.
14 Wicks et al., op.cit., contains detailed information about the operations of the Texas Insurance Purchasing Alliance and Caroliance. The termination date for Caroliance was found in: BlueCross BlueShield of North Carolina, "Submission of Information Pursuant to N.C. Gen. Stat. §58-65-131(h), For the Public Record Related to Conversion," September 30, 2002 (http://www.ncdoi.com/BCBSNCPublicRecordsSubmission.pdf).
15 Launched in October 1998, IMA Health Options had enrolled only 3 employers with 20 employees and 30 total covered lives by November 1999. It went out of business as a choice pool shortly thereafter. Unpublished data from the Institute for Health Policy Solutions periodic survey of Consumer-Choice Health Purchasing Groups.
16 Market share data is difficult to obtain. We compared enrollment figures provided by CBIA "Health Connections" managers (33,000 primary workers covered, personal communication, September 21, 2005) to total enrollment of small-firm workers in Connecticut (181,000 in 2005) from Agency for Healthcare Research and Quality, Number of private-sector employees by firm size and State: United States, 2005 (Table II.B.1)
<
http://www.meps.ahrq.gov/m epsweb/d
ata_stats/summ_tables/insr/state/series_2/2005/tiib1.pdf> and
Percent of private-sector employees that are enrolled in health insurance at establishments that offer health insurance by firm size and State: United States, 2005
(Table II.B.2.b.(2))
<
http://www.meps.ahrq.gov/m epsweb/d
ata_stats/summ_tables/insr/state/series_2/2005/tiib2b.pdf>.
These figures suggest a CBIA "market share" (percent of covered small-firm workers) of over 18 percent.
But the AHRQ data are subject to sampling error (the 2004 figure was 205,000), and CBIA managers thought 18 percent seemed high. Nonetheless, it is clear that the CBIA “Health Connections” purchasing
pool is a major player in Connecticut's small-group market.
17 California's ±10 percent rating band applies to any rating factor that may not be used in establishing the "standard employee risk rate (SERR)," that is, any factor other than age, family size and geographic location. See note 10.
18 PacAdvantage press release, August 11, 2006.
19 Institute for Health Policy Solutions, Challenges and Alternatives for Employer Pay-or-Play Program Design: An Implementation and Alternative Scenario Analysis of California's "Health Insurance Act of 2003" (SB 2), prepared for the California HealthCare Foundation and the California Managed Risk Medical Insurance Board, March 2005, (http://www.ihps.org/pubs/2005_SB2.shtm) or (http://www.chcf.org/topics/healthinsurance/coverageexpansion/index.cfm?itemID=109984). Hereafter cited as the "SB2 Report." Several "Supplements" to the main report, dealing with particular topics, may also be found at these Web addresses.
20 Rick Curtis and Ed Neuschler, "Designing Health Insurance Market Constructs For Shared Responsibility: Insights From California," Health Affairs 28, no. 3 (2009): w431–w445 (published online 24 March 2009; 10.1377/hlthaff.28.3.w431)]
21 With respect to risk adjustment in the Health Insurance Plan of California (PacAdvantage's predecessor), see Yegian et al., op.cit. Supplement E to the SB2 Report discusses risk adjustment in general and gives a brief overview of currently available risk-adjustment mechanisms.
22 See §§10730 -10749 of the California Insurance Code for PacAdvantage, the successor to the Health insurance Plan of California, which was originally operated by the California Managed Risk Medical Insurance Board. Private voluntary purchasing alliances are authorized by §§10800-10887 of the California Insurance Code, but to date no entity has been certified by the Commissioner of Insurance to act as a purchasing alliance.
Technically, health plans must adhere to the ±10 percent rating bands across any product they sell, regardless of how it is sold. But since the pools can specify unique benefit packages, as a practical matter the rating bands do not affect the pools' ability to negotiate on price. (The rating bands do apply within the pool, of course.) On the other hand, the legal authority to negotiate price does not, by itself, convey the practical ability to obtain a favorable price through negotiations. As noted earlier, since the pools are voluntary and carriers can sell to the same small employers directly, carriers have little incentive to give the pools a favorable price.
23 Section 10820(i) of the California Insurance Code—part of the Private Health care Voluntary Purchasing Alliance Act—specifically exempts such entities from the requirements of that Act.
24 See note 21.
25 For example, if the target population is small businesses, the sponsoring organization should be perceived favorably by small businesses.
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Wipak ® Fitform
Maximizing Your Performance and Safety
Maximizing Your
Performance and Safety
Fitform is a unique and modern fi lm solution, specially developed for the medical device industry. It off ers optimal performance and sustainable packaging solutions with excellent transparency and clarity.
Technical details
Benefi ts
* Superior PA/PE fi lm
* 11 layers create optimal performance
* 50– 220 microns
Applications
* Premium thermoforming packaging material for wide variety of medical devices
* For EO and Irradiation sterilization
Wipak ® is a registered trademark of Wipak Oy.
The information contained herein is to our best knowledge accurate and reliable as of the date of publication. Wipak extends no warranties and makes no representations as to the accuracy or completeness of the information contained herein, and assumes no responsibility regarding the consequences of its use or for any printing errors. Our products are intended for sale to medical device industrial customers in their own specifi c use. It is the customer's responsibility to inspect and test our products in order to satisfy himself as to the suitability of the products for the customer's particular purpose and suitability to the actual circumstances the product is exposed to. The customer is also responsible for the appropriate, safe and legal use, processing and handling of our products, especially when recommendations for safe use and storage are given. Nothing herein shall constitute any warranty, nor is a protection from any law or patent to be inferred.
[email protected], www.wipak.com
Wipak reserves the right to make changes at any time without notice.
* Less fi lm curling and post shrinkage for a consistent packaging process
* Fast and even forming on your packaging line
* Sustainable and cost-eff ective by downgauging and improved packaging process effi ciency
* Excellent transparency and clarity for bet er view of the device
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1
Top 10 DIY Tips
by DrillBitKit.com
DIY master or disaster?
Does using your electric drill, fill you with dread? Why is that some people seem to be "naturals" when it comes to DIY?
Here are Eddie Stone's 10 TOP TIPS to help YOU achieve tip-top results.
TAKE YOUR TIME
Don't try to rush through tasks that you don't look forward to doing. Allow enough time, new work experiences usually take longer than you think.
2 PLAN AHEAD
Do you have the tools and materials that you will need?
"MEASURE TWICE, CUT ONCE" A very common phrase used by all tradesmen. 3
LET THE CUTTING EDGE OF YOUR TOOL DO THE WORK 4
Whether you're drilling, sawing or planing don't try and force it through. Let the cutting tip cut. You wouldn't force your razor through your beard or shave your legs as fast as you could. It's the same principle with any cutting tool.
BE ORGANISED A tidy work space, is a "happy" workplace. If you're putting together a flat-pack kit, segregate and count all 5
of the components. It will save time and energy during the construction stage.
6 BE OBSESSIVE
… regarding squareness, plumbness and levelness. Get a decent spirit level and practice using it. All construction building work relies on this.
7 DRILL STRAIGHT!
It's an important skill to master. An easy way to practice is to use a flat wood bit, sometimes called a "spade" bit. Drill on a piece of spare wood. As you drill, the hole should form evenly. If the emerging hole is a crescent shape then you're not drilling square on. Adjust your drill's position and retry until you can see and feel it's right.
BUY MATCHING BRANDS FOR BEST RESULTS 8
Products are generally designed to work together, i.e. if you use brand X undercoat for painting use the same brand X for the top coat. They are chemically designed to bond together. Companies invest a lot to get their products as good as they can (trust us on this one we know). Take advantage of this for best results for your DIY project.
9
10
STORE YOUR TOOL COLLECTION SAFELY
Have a designated store place for your tools. You will always know where they are and that they are out of harms way. You don't want anyone else touching or moving them. Spending time looking for tools is frustrating and you certainly want to keep them out of children's reach.
LAST BUT BY NO MEANS LEAST PPE (Personal Protective Equipment)
You only have one set of eyes, ears and lungs. Goggles, ear defenders and dust masks are imperative. If you're moving heavy items such as concrete slabs get some steel toe capped footwear.
www.drillbitkit.com
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Dungeon Speed Crawl
The party is called in to 'advise' in problems arising from the refurbishing of a longabandoned secret facility. Before you ask, yes, the Shadow Government tries to always have a few of these salted away, in various places; it's practically a necessity. You see, there's a particular quirk of the adventurer mindset that makes it remarkably difficult to accept that the Illuminati might sometimes really and truly just want a particular group of freelance meddlers and applied chaoticists to go out and apply their unique skillset to a particular problem. And even when the adventurers do take the job from the Illuminati, they then spend far too much time waiting for a sudden, yet inevitable betrayal that will never actually come. But give those adventurers a chance to "loot" the exact same details about that problem from "an abandoned lair," and they'll jump right in, with both feet. Weird, huh?
So, the Conspiracy has about a dozen of these sites, and it tries to cycle through them on a fairly regular basis. Most of the onsite facilities are safely generic, but the site still needs to be seeded with specific artifacts and documentation and whatnot that's germane to the specific and aforementioned… well, 'disinformation campaign' isn't exactly the right phrase, is it? After all, the Secret Masters do use these sites to get adventurers to start solving quite real and pressing problems. But it's still kind of fake…
Anyway , the preparation team for one particular site has missed two checkin calls in a row. Which is where your party comes in: go there, see what the problem is, fix the problem. And do it fast: in fortyeight hours a civilian adventuring party is going to be hitting the site themselves, and it's absolutely vital that that party gets the information they need in order to keep Lisbon from suddenly turning into a giant gas laser. Or whatever the chaostouched crisis is this week…
© Moe Lane. All rights reserved.
http://www.moelane.com
https://www.patreon.com/MoeLane?ty=h
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Statement by Local Residents at Ramree Island regarding Shwe Gas Project, Deep Sea Port, and
Oil and Gas Pipeline
Date:2th May,2013
Construction of Daewoo's Shwe gas project, as well as CNPC's Maday deep sea port and oil and gas pipeline have damaged our (local people’s) livelihoods and environment in Kyauk Phu Township since
2009. Additionally, there has been ongoing forcible land confiscation, providing no compensation or a limited amount of compensation for the confiscated rice farms and lands.
We, the local affected people, were not informed or consulted by the companies regarding the positive or negative impacts of the projects before the implementation of these projects until today. Furthermore,
we were not informed of whether an EIA or SIA had been conducted before the implementation of the projects. Therefore, we have been deeply concerned about the possibility of the total destruction of our
major livelihoods such as farming and fishing, as the projects have already negatively impacted our livelihoods.
Beginning from this year, Maday Sea Port will be filled with massive Chinese oil tankers transporting crude oil from the Middle East and Africa. If any oil spill occurs from these tankers in the Maday and
Kyauk Phyu coastal area, the major sources of our livelihoods including our sea, agricultural lands, rice farms and mangrove forests, will be destroyed. It is important to note that the mangrove forest in the
Kyauk Phyu coastal area is the second largest in Burma.
Therefore, we, the local communities in project affected areas of Kyauk Phyu Township, list the 12 following demands to be implemented immediately by the projects' operators in Kyauk Phyu, including
Daewoo International of South Korea, China's CNPC, and Myanmar state-owned company MOGE. We also demand that all projects’ activities in Kyauk Phyu be postponed until our demands are met.
Our demands:
1. If an EIA and SIA were already conducted, to disclose and present the results of those assessments to local people immediately. If an EIA and SIA were not conducted, postpone all the projects' activities and conduct an EIA and SIA immediately, then present the results and hold a consultation with local people.
2. To investigate the oil and gas pipeline's quality and condition immediately in line with international standards, and immediately present the results of the investigation to the people.
3. To present information to local people regarding the government's and companies' roles and responsibilities. This must include required actions in case of accidents or emergencies resulting from the projects, such as the clean up processes for any environmental damages, protection of
biodiversity, and compensation for affected people in the event of explosions or oil spills in Arakan sea and land.
4. To establish and enforce laws to protect local people's environment, livelihoods, culture and customs in line with international standards
5. To immediately clean up the rocks in the local people's fishing areas where companies dumped rocks mined during the construction of the sea port project.
6. To present prior information about how the local fisherfolk communities' livelihoods will be restored when their main fishing grounds are damaged due to oil tanker movement in the areas.
7. To provide full compensation to land owners whose lands were forcibly confiscated without compensation or with limited compensation for the Shwe gas project, deep sea port, and oil and gas pipeline projects until the land owners are satisfied that the compensation is in line with international standards.
8. To provide jobs and livelihood necessities to affected local communities facing challenges to their survival due to the Shwe gas, deep sea port, and oil and gas pipeline projects
9. To respect local culture and to prevent oppression of the local people by foreign and non-local company workers.
10. To give local communities prior information regarding the danger of toxic waste from the Shwe gas terminal, and regarding the plans to protect local people's sea, land and air in line with international standards.
11. To implement company's CSR activities according to local people's desires.
12. To prioritize the utilization of Shwe gas for Arakan State development before any other use within the country or for export.
These demands are made by three Kyauk Phyu CBOs and 17 villages which cover an estimated population of 20,000 people.
Contact:
Tun Lwin: +95 942 172 9277 (English speaking) / Kyaukphyu Social Network Group
Tun Kyi: +95 949 650 353 (Burmese speaking) / Maday Island Development Organization
Soe Shwe: +95 942 1739 616 (Burmese speaking) / Sky Youth Organization
Mg Aye: +95 942 175 0633 (Burmese speaking) / Lightkamor Village / Kyaukphyu Township
Demand lists of organizations and villages:
1. Kyaukphyu Social Network Group/ Kyaukphyu Township
2. Sky Youth Organization/ Kyaukphyu Township
3. Maday Island Development Organization/ Kyaukphyu Township
4. Zaytaetaung Quarter / Kyaukphyu Township
5. Toechat Quarter/ Kyaukphyu Township
6. Minpyin Village/ Kyaukphyu Township
7. Lightkamor Village / Kyaukphyu Township
8. Mitnartan Quarter/ Kyaukphyu Township
9. Kalabartaung Quarter / Kyaukphyu Township
10. Zinchang Village / Kyaukphyu Township
11. Konbow Village/ Kyaukphyu Township
12. Choung Wa Village/ Kyaukphyu Township
13. Choung Pyer Village / Kyaukphyu Township
14. Ranataung Village/ Kyaukphyu Township
15. Katie Village / Kyaukphyu Township
16. New Lightkamor Village/ Kyaukphyu Township
17. Pargin Village / Kyaukphyu Township
18. Tanpachang Village / Kyaukphyu Township
19. Malar Island Village/ Kyaukphyu Township
20. Goto Village / Kyaukphyu Township
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FRMO Corp.
Dear Fellow Shareholder:
As small and as insignificant as FRMO might appear to the objective observer, it is certainly no exaggeration to state that the firm has made substantial progress. The term "substantial progress" is, of course, a relative term but nonetheless a conventional term. Therefore, viewed through the use of this conventional term through a conventional arithmetic prism, shareholders' equity has increased 34.18% from $138,433 to $185,745. Net income has increased 354.2% from $8,390 to $38,108. Nevertheless, these numbers are still of very small magnitude.
Yet, the numbers as such do not reflect the progress of the firm. Shareholders will be aware that our firm receives a research fee from The New Paradigm Fund. Incidentally, this fund is now named The Paradigm Fund since, given its history of more than three years, it is no longer new. The fee is asset based, which means that FRMO fees increase as the assets under management increase. At the date of this writing, assets under management at The Paradigm Fund exceed $25 million. For comparative purposes, one should consider that for much of the fiscal year ended in February 2003, the fund had less than $10 million in assets. As of this writing, the fund has appreciated by 20% and is fully 1,000 basis points ahead of the S&P 500 on a year-to-date basis. The fund outperformed the S&P 500 in 2000, 2001 and 2002. The fund was also recently awarded a fivestar rating by Morningstar.
A more interesting investment is our interest in Kinetics Advisors, which operates a hedge fund. As of this writing, the hedge fund (both onshore and offshore) contains a combined $82 million of assets and has appreciated by 30% this year on a gross basis. This is of no little relevance to FRMO, since FRMO is entitled to its pro-rata share of performance fees.
Interestingly, although FRMO is on accrual accounting, we cannot accrue, nor can we post, the pro-rata share of the Kinetics Advisors partner's capital on our balance sheet. This is because of the regulations of generally accepted accounting practices, from which we do not care to depart. However, this share is relevant. As of this writing, it can be conservatively estimated at perhaps $200,000. Thus, if it were possible to post this sum upon our balance sheet, our shareholders' equity would be more than twice its current level. However, we are quite content to maintain conservative financial statements. We merely choose to disclose this, as shareholders have a right to know of items of interest both good and bad. In this case, the news is, fortunately, good.
Since previous readers of this annual report will be aware that our firm is essentially an intellectual capital company, we have naturally not added staff. We have thus indirectly contributed to the national unemployment problem. However, one must wonder whether we could attract new employees. The management accepts no cash or equity compensation. (In practice, accounting rules do not recognize the notion that management cannot be compensated. Consequently, we are required to record an accounting entry for compensation, but this is a non-cash expense – it decreases our stated earnings, but not our cash earnings or balances. It is as if we are being paid, but we are not being paid. If this confuses you, it confuses even us, but the bottom line is, we don't get any money.) It is the custom in American business that the management of a firm are also the highest paid employees. Of course, it must therefore logically follow that employees should pay FRMO for the privilege of being employed, since the management has zero compensation. Moreover, the management has no intention of awarding itself a compensation increase.
We are pleased with our results thus far and we hope, although we cannot guarantee, that our successes of the past several months presage a future with more cash flow. It has been our pleasure and privilege to serve as the management of this firm. We further hope that we have not yet exhausted our last good idea. Every now and then even we have an insight.
Steven Bregman, President and Chief Operating Officer
Murray Stahl, Chairman and Chief Executive Officer
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|
Corporate Sponsorship Registration Form
23rd Annual SCTPN Dinner Dance Benefit: Glamorous Red Carpet Dinner & Dance Gala
Saturday, April 9, 2016 @ 7:00 PM Grand Prospect Hall, Brooklyn, NY
Please complete the Corporate Sponsorship Registration Form
I,
of
on
full name
organization
today's date
☐ Pledge my support at the level selected below and will be attending Dinner Dance Benefit event.
☐ Pledge my support at the level selected below but will not be attending Dinner Dance Benefit event.
☐ Do not wish to become a sponsor for the Annual Dinner Dance Benefit but have enclosed a donation to support SCTPN Scholarship, Education, and Outreach Programs.
| ☐ | DIAMOND $15,000 |
|---|---|
| ☐ | PLATINUM $10,000 |
| ☐ | GOLD $7,500 |
| ☐ | SILVER $5, 000 |
| ☐ | BRONZE $3,000 |
| ☐ | Donation of $___________ |
Please post mail, email, or fax your response by: February 29, 2016.
Esme Hilman, Dinner Dance, Co-Chair Sickle Cell Thalassemia Patients Network 1139 St. Johns Place, Brooklyn, NY 11213-2617
Email: [email protected] | Fax (718) 789-5767.
Please make check payable to: Sickle Cell Thalassemia Patients Network or pay online at www.sctpndinnerdance.org All contributions are tax deductible
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| 675,153,861
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Inverting a Canopy Reflectance Model Using an Iterative Optimization Technique to Retrieve Canopy Chlorophyll Content
R. Darvishzadeh*, A.A. Matkan, A. Dashti Ahangar, M. Hajeb
Remote Sensing and GIS Department, Faculty of Earth Sciences, Shahid Beheshti University, Tehran, Iran- [email protected]
Abstract
Canopy chlorophyll content provide vital information about exchanging of energy between vegetation and surrounding environment. This study proposed a method to extract canopy chlorophyll content of rice in northern part of Iran form multispectral sensor AVNIR-2 on board ALOS satellite. A field campaign was carried out in June 2010 and several biophysical and biochemical parameters were measured in rice fields. The well-known canopy radiative transfer model PROSAILH was inverted by using iterative method. To assess model inversion performance, RMSE and R2 between independent in situ measurements and estimated canopy chlorophyll content were used. Results demonstrate a proper agreement between estimated and measured canopy chlorophyll content (R2=0/57).
Key words: Remote Sensing, Model Inversion, Chlorophyll, iterative optimization, PROSAILH.
1. Introduction
Remote sensing data in reflective optical domain function as a unique source for providing spatially and temporally information on key biophysical and biochemical parameter of land surface vegetation. Chlorophyll content is strongly related to photosynthetic capacity and productivity (Barry, 2009). The development of precision agriculture has also fueled the need for remote sensing of plant pigments. Since chlorophyll concentration is connected to nitrogen, it has become a key measurement parameter in plant canopies (feret et al, 2008; Gitelson et al, 2002; Ustin et al, 2004).
There are three approaches to estimate Chlorophyll via remote sensing. 1) In the empirical/statistical approach, statistical techniques are used to obtain a correlation between the target variable and its spectral reflectance or some vegetation indices (Darvishzadeh et al, 2008). The derived statistical relationships are recognized as being sensor specific and dependent on site and sampling condition, and are expected to change in space and time (Darvishzadeh et al, 2008; colomb et al, 2002). 2) Visible wavelength is strongly absorbed by foliar pigments. This energy dissipated as heat or reemitted as chlorophyll fluorescence (ChlF). ChlF emission represents only 2-3% of leaf electromagnetic reflectance in the red and NIR spectral regions. Although extracting vegetation solar-induced fluorescence have been tested in laboratory scale, but using such methods for airborne and satellite based sensor is under development and it is not common for practical use in remote sensing community (Malenovsky et al 2009). 3) Physical models which are based on the inverted use of radiative transfer (RT) models are relevant alternative to statistical and fluorescence approaches. These models describe photon propagation through leaf, canopy, soil and atmosphere based on physical law, thus they can provide explicit connection between at-sensor reflectance and biophysical and biochemical variables. RT models are mathematically invertible if the solution of the inverse problem to be solved, exist, is unique and depends continuously on data (Dorigo et al. 2007). However measurement and model uncertainty are often leading to a large range of possible solutions, which prohibits the inversion to be properly solved and may lead to ill-posed problem (Koetz et al, 2005; Combal et al, 2002; Atzberger 2004). The measurement uncertainties are related to processing of the raw data including radiometric and geometric correction and in situ measurements (Houborg, 2009). Models uncertainty results mainly from the assumption on the canopy structure and optical properties that not fully verified when compared with those of actual canopies (Koetz et al, 2005).
For model application rice was used in this study, as it is of high economic importance in the study area. The goal was to obtain reliable estimate of rice variables (LAI, chlorophyll content). The well-known canopy RT model, PROSAILH, which is the coupled version of leaf model, PROSPECT (Jacquemoud, 1990), and canopy model, SAILH (Verhoef, 1984, 1985; kuusk, 1991), was used to extract these variables from optical sensor AVNIR-2.
2. Data and Material
2.1. Filed experiment
During June 29 – July 14, 2010 an extensive field campaign was conducted in Amol, northern part of Iran. Most of the agricultural activities in this area are characterized by rice crop. Sixty plots of 30m by 30m were chosen by adopting stratified random sampling. In each plot, three to five sub plots of 1m by 1m were randomly selected (depending on the homogeneity of sample plot).
The amount of chlorophyll in each subplot was measured by using a SPAD-502 leaf chlorophyll meter. SPAD values are unit less and have to convert to leaf chlorophyll content (ug cm-2) by means of an empirical calibration function provided by Markwell et al. (1995). Although Markwell function refers to corn leaves, studies have demonstrated that they can be applied to other plant species (Darvishzadeh et al 2008). Leaf area index (LAI) was also measured for each subplot destructively and by using an LI 3000 instrument.
2.2. Preprocessing of image
The ALOS platform was successfully launched by JAXA (Japanizes aerospace exploration agency) on January 26 2004 and contains optical AVNIR-2 sensor, PRISM camera for stereo mapping and PALSAR.
An image of AVNIR-2 (July 7, 2010) was processed since JAXA does not deliver AVNIR-2 images atmospherically corrected; the image was corrected by FLAASH module installed with ENVI 4.7 software. FLAASH incorporate the MODTRAN4 radiation code. The final output of FLAASH is image reflectance. Geometric correction was done with second-degree polynomials, using both the 1:25000 topographic map and handheld GPS-derived control points.
3. Research Methodology
3.1. PROSAILH
The choice of canopy radiative transfer model must satisfy at least two constraints (Atzberger et al, 2003):
- It must allow a fair representation of radiative transfer in the canopy
- It must also be associated with rather limited number of input variables and small computational requirements to facilitate the study.
too many kinds of such a model exist, a good review of these models was presented by (Dorigo eta al, 2008).
3.1.1. Leaf optical model
At leaf level, PROSPECT model (Jacquemoud & Baret, 1990) over 450-2400 nm spectral domain simulates bi-Lambertin reflectance (refl) and transmittance (tran). Input variables include leaf mesophyll structure parameter (N), chlorophyll a and b content (Cab), dry matter (Cdm), and water (Cw). The model could then be written as function of its input variables: [refl,tran]=PROSPECT (N, Cab, Cdm, Cw).
3.1.2. Canopy optical model
The SAILH model (Verhoef, 1984, 1985, Kuusk, 1991) is one of the earliest model that simulates top of canopy reflectance given observation geometry, canopy structure, leaf optical properties and soil reflectance (see Jacquemoud et al, 2009. For more detail). Leaf optical properties are simulated by PROSPECT; canopy structure variables are leaf area index (LAI), average leaf angle (ALA) and hot spot size (HOT) which is a function of LAI and fraction of diffuse incoming solar radiation, skyl. Therefore SAIL model simply writes: toc
P = SAIL (refl, tran, LAI, ALA, HOT, Rs, θ , θ , φ)
Where θs and θv are sun and view zenith angle, φ is azimuth between both directions. Rs is the background reflectance, to account for the change induced by by moisture, observation and illumination geometry and roughness. We used a soil brightness parameters (Darvishzadeh. 2008; Lauvernet et al, 2008 Atzberger. 2003 ;). Thus the Rs is the product of typical soil reflectance (Rs * ) times Bs : *
s v
Rs=Bs.Rs
Therefor when two models are coupled, 12 inputs parameter considering the leaf, canopy and soil have to be specified.
3.2. INVERSION
The iterative optimization method is the classical technique to invert physical model. It searches for the best fit between simulated and measured spectra by iteratively running model whit different set of variables. Stopping criteria of iteration is a function known as cost function. There are several cost function used in the literature. A good review of this function can be found in (Liang, 2004). The function that we used is:
Where Rmeasured is the measured reflectance at wavelength λ and Rsimulated is simulated reflectance.
4. Results and Analysis
Figure1 illustrates the relation between measured and simulated rice variables using iterative optimization method. The R 2 and RMSE between measured and simulated canopy chlorophyll content shows poor relationships which can be count as the effect of ill- posed problem.
In general, estimating leaf chlorophyll content from physical models was difficult. this confirms other studies (Baret and jacqumoud, 1994; Curran et al. 1992; Darvishzadeh et al. 2008; Weiss et al. 2000a). According to Baret in Liang, 2004, Estimating canopy variables from remote sensing measurements is always an under-determined problem, the number of unknowns is generally larger than the number of independent radiometric information remotely sampled by sensors .
R² = 0.0722
35
30
25
20
15
10
5
0
RMSE=13.5
0
20
40
60
Simulated leaf chlorophyll content
Fig.1 Simulated (estimated) vs measured canopy chlorophyll content (left) and leaf chlorophyll content (right).
For instance in PROSAIL model there is 13 unknown that should be estimated from 4 bands ( as a case of ALOS), one direction (nadir) and one snap shot; this is obviously and underdetermined problem. In case of the leaf chlorophyll content ill-posed problem cause the estimated value reached their upper or lower boundary (Fig.2).
One way to solve the ill-posed problem is the combination of single variables into synthetic variables such as canopy chlorophyll content which as the product of leaf chlorophyll content and the leaf area index (Dorigo et al. 2007). In our study canopy chlorophyll content estimated with an acceptable accuracy. This is probably due to modulating canopy reflectance by LAI and leaf chlorophyll content (Darvishzadeh et al. 2008).
Since the SAIL model was developed for crops with homogenous canopy cover, the performance of the PROSAIL model is better at time of complete canopy closure than early stage of growth. This is especially important for rice crops, because in early stage the crop lands are inundated and will affect strongly the reflectance of crops in near infrared spectral region. This is confirmed when some points ware recognized as outlier when they were in the early stage of growth.
5. Conclusions
Widely used PROSAILH model was rather successful in this study and by using ALOS multispectral images. Inversion of the model was based on the iterative optimization method. This inversion method is too time consuming. In our case for 44 samples it takes 18 hour to run the program. Thus another inversion method such as look-up table approach and neural network would be a good alternative of iterative optimization method.
Acknowledgements
We appreciate the Remote Sensing and GIS department in Shahid Beheshti University, the Technical university of Babol and the Rice Research Center of Mazandarn province for their support and assistance.
References
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Combal, B, Baret, F, Weiss, M, Trubuil, A, Macأ©, D, Pragnأ¨re, A, Myneni, R, Knyazikhin, Y, & Wang, L. (2003)."Retrieval of canopy biophysical variables from bidirectional reflectance using prior information to solve the ill-posed inverse problem". Remote Sensing of Environment,Vol 84, p.p.1-1
Curran, P.J., Dungan, J.L., & Gholz, H.L. (1992). Seasonal LAI in slash pine estimated with landsat TM. Remote Sensing of Environment, 39, 3-13
Darvishzadeh, R, Skidmore, A, Atzberger, C, & van Wieren, S. (2008). "Estimation of vegetation LAI from hyperspectral reflectance data: Effects of soil type and plant architecture". International Journal of Applied Earth Observation and Geoinformation, Vol 10, p.p. 358-373
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Dorigo, W.A, Zurita-Milla, R, de Wit, A.J.W, Brazile, J, Singh, R, & Schaepman, M.E. (2007)." A review on reflective remote sensing and data assimilation techniques for enhanced agroecosystem modeling". International Journal of Applied Earth Observation and Geoinformation,Vol 9, p.p. 165-193
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Gitelson, A.A, Kaufman, Y.J, Stark, R, & Rundquist, D. (2002). "Novel algorithms for remote estimation of vegetation fraction". Remote Sensing of Environment,Vol 80, p.p. 7687.
Houborg, R, Anderson, M, & Daughtry, C. (2009)." Utility of an image-based canopy reflectance modeling tool for remote estimation of LAI and leaf chlorophyll content at the field scale". Remote Sensing of Environment, Vol 113, p.p. 259-274
Jacquemoud, S, & Baret, F. (1990)." PROSPECT: A model of leaf optical properties spectra". Remote Sensing of Environment, Vol 34, p.p. 75-91.
Jacquemoud, S, Verhoef, W, Baret, F, Bacour, C, Zarco-Tejada, P.J, Asner, G.P, Franأ§ois, C, & Ustin, S.L. (2009). "PROSPECT + SAIL models: A review of use for vegetation characterization". Remote Sensing of Environment, Vol 113
Koetz, B, Baret, F, Poilvأ©, H, & Hill, J. (2005)." Use of coupled canopy structure dynamic and radiative transfer models to estimate biophysical canopy characteristics". Remote Sensing of Environment, Vol 95, p.p. 115-124
Kuusk, A. (1985). "The hot spot effect of a uniform vegetation cover", Soviet Journal of Remote Sensing Vol 3, p.p. 645–658.
Lauvernet, C, Baret, F, Hascoأ«t, L, Buis, S, & Le Dimet, F.X. (2008)."Multitemporal-patch ensemble inversion of coupled surface-atmosphere radiative transfer models for land surface characterization". Remote Sensing of Environment, Vol 112, p.p. 851-861
Malenovsky, Z., Mishra, K, B,. Zemek, F,. Rascher, U & Nedbal, L. (2009). "Scientific and technical challenges in remote sensing of plant canopy reflectance and fluorescence". Journal of Eperimental Botany, Vol 60, p.p. 2987-3004.
Markwell, J., Osterman, J. C., & Mitchell, J. L. (1995). "Calibration of Minolta SPAD-502 leaf chlorophyll meter". Photosynthetic Research, Vol 46(3), p.p. 467−472.
Ustin, S.L, Lay, M, & Li, L. (2004)."Remote sensing of wetland conditions in West Coast salt marshes". In W. Gao & D.R. Shaw (Eds.), Proceedings of SPIE - The International Society for Optical Engineering (pp. 159-169). Denver, CO
Verhoef, W. (1984). "Light scattering by leaf layers with application to canopy reflectance modeling:The SAIL model", Remote Sensing of Environment Vol16, p.p. 125–141.
Verhoef, W. (1985)." Earth observation modeling based on layer scattering matrices". Remote Sensing of Environment, Vol 17, p.p. 165-178.
Weiss, M., Baret, F., Myneni, R.B., Pragn re, A., & Knyazikhin, Y. (2000a). Investigation of a model inversion technique to estimate canopy biophysical variables from spectral and directional reflectance data. Agronomie, 20, 3-22
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introduced the boundary-layer approach. Prandtl showed that viscosity is only significant in a thin layer near a solid surface and that flow outside the layer can be treated as inviscid. He went on to study the formation of turbulent boundary layers and the criteria for boundarylayer separation. Wing theory, the understanding of lift and drag, and the development of the whole of modern aeronautics have depended on his ideas.
Despite its extensive treatment of the history of hydrodynamics, I have a personal disappointment with Worlds of Flow: It is a pity that the author chose to end the story with Prandtl, with only a passing reference to Geoffrey Taylor, a towering figure in British fluid mechanics whose life and contributions overlapped with Prandtl's. Nonetheless, by presenting in detail the interactions between many mathematicians and engineers, and by emphasizing the different styles characteristic of scientists in different countries, Darrigol has provided a fascinating insight into the development of hydrodynamics.
J. Stewart Turner Australian National University Canberra
See www.pt.ims.ca/9467-18
Photonic Crystals
Towards Nanoscale Photonic
Devices
Jean-Michel Lourtioz, Henri Benisty, Vincent Berger, Jean-Michel Gérard, Daniel Maystre, and Alexis Tchelnokov (translated from French by Pierre-Noel Favennec) Springer, New York, 2005. $99.00 (426 pp.). ISBN 3-540-24431-X
Photonic crystals are artificial periodic structures in which electromagnetic wave dispersion can be engineered and controlled, in analogy to the way the bands of electrons in semiconductor crystals are manipulated. The field involves the discovery and creation of those types of photonic crystals that have interesting properties, and a photonic bandgap is only one such property. Today, a whole array of photonic crystals illustrate one aspect or another of basic science, fulfill various practical aims, or occasionally provide physically based pigments in living things.
The study of photonic crystals spans solid-state physics, physical optics, crystallography, quantum optics, electromagnetic engineering, and even biology. The range and escalation of the field have led to the defeat of most researchers' attempts to provide a contemporary follow-up to the beautiful introductory monograph Photonic Crystals: Molding the Flow of Light (Princeton U. Press, 1995) by John D. Joannopoulos, Robert D. Meade, and Joshua N. Winn. In the past 10 years a large number of books have emerged, but the very breadth of the subject means that such volumes as Photonic Crystals: Advances in Design, Fabrication, and Characterization (Wiley-VCH, 2004), edited by Kurt Busch and coworkers; Photonic Crystals: Physics, Fabrication and Applications (Springer, 2004), edited by Kuon Inoue and Kazuo Ohtaka; and Electromagnetic Theory and Applications for Photonic Crystals (CRC Press, 2005), edited by Kiyotoshi Yasumoto, have usually consisted of collections of discrete articles written by individual authors and supervised by editors. Many worthy writers have been defeated in their attempts to create a single comprehensive text.
In Photonic Crystals: Towards Nanoscale Photonic Devices, Jean-Michel Lourtioz and his colleagues have come out with an impressive major volume that covers many of the main themes of photonic crystals, but it required the concerted effort of six coauthors. The English version, thanks to translator
54 August 2006 Physics Today
Pierre-Noel Favennec, has been worth the wait. A uniform voice and consistent notation distinguish the book, making it useful as an introduction for students or as a handbook for practitioners who want to learn about photonic-crystal research outside their own specialty. The authors are the leading photonic-crystal researchers of France, and we are lucky that an English translation is now available.
The first chapter adapts Maxwell's equations to the periodic environment and introduces the major computational methods that are used to design and analyze photonic crystals. It is useful to see all the different approaches in one place and in a consistent notation, as that presentation helps researchers select the right computational method for a given situation. Meter-kilogram-second (MKS) units are used throughout the book; there seems to be no other choice, since antenna problems invariably lead to √μ o \ε o , the impedance of free space.
The book contains a lovely chapter giving a clear exposition of photonic quasicrystals; the quasicrystal concept emerges in full rigor since the photonic versions can be artificially engineered to any desired properties. Nonetheless, the existence of a complete photonic bandgap in quasicrystals is still much debated.
The book pays adequate attention to metallic periodic structures that lead to so-called left-handed electromagnetic properties, metamaterials, and the fertile area of plasmonics. Uniquely, the authors offer a full discussion of applications in microwave engineering. They also present complete coverage of twodimensional, thin-dielectric-film photonic crystals that engineers are now applying toward commercial nanophotonic circuits employing thin silicon layers. Microcavities and single-photon light sources are treated as well, but it is difficult for the authors to keep up with fast-moving developments. The book covers Q-factors in the thousands, but Q > 10 6 has recently been achieved by Takashi Asano, Susumu Noda, and Bong-Shik Song.
The authors include a brief chapter on photonic crystal fibers, but complete volumes dedicated to that topic by other researchers have begun to appear, such as the text by Zolla and his colleagues and Photonic Crystal Fibres (Springer, 2003) by Anders Bjarklev, Jes Broeng, and Araceli Sanchez Bjarklev. Photonic www.physicstoday.org
crystals occur in the botanical and zoological worlds as physically based pigments, and yet biological photonic crystals are not mentioned in the book. They deserve a colorful volume of their own, showing what is known, for example, of peacock and parrot feathers.
Overall Photonic Crystals is an excellent book that can serve as an introductory text and a reference for graduate students and researchers.
Eli Yablonovitch
University of California Los Angeles
new
astronomy and astrophysics
Astrophysical Formulae. Vol. 1: Radiation, Gas Processes, and High Energy Astrophysics. Vol. 2: Space, Time, Matter, and Cosmology. 3rd rev. ed. K. R. Lang. Astronomy and Astrophysics Library. Springer, New York, 2006 [1999]. $129.00 paper set (1050 pp. set). ISBN 3-540-29692-1 books
Astrophysics of Variable Stars. C. Sterken, C. Aerts, eds. Astronomical Society of the Pacific Conference Series 349. Proc. mtg., Pécs, Hungary, Sept. 2005. Astronomical Society of the Pacific, San Francisco, 2006. $77.00 (480 pp.). ISBN 1-58381-217-2
Compact Stellar X-Ray Sources. W. Lewin, M. van der Klis, eds. Cambridge Astrophysics Series 39. Cambridge U. Press, New York, 2006. $175.00 (690 pp.). ISBN 0-521-82659-4
Handbook of CCD Astronomy. 2nd ed. S. B. Howell. Cambridge Observing Handbooks for Research Astronomers 5. Cambridge U. Press, New York, 2006 [2000]. $95.00, $39.99 paper (208 pp.). ISBN 0-52185215-3, ISBN 0-521-61762-6 paper
An Invitation to Astrophysics. T. Padmanabhan. World Scientific Series in Astronomy and Astrophysics 8. World Scientific, Hackensack, NJ, 2006. $66.00, $36.00 paper (362 pp.). ISBN 981-256-6384, ISBN 981-256-687-2 paper
Organizations and Strategies in Astronomy. Vol. 6. A. Heck, ed. Astrophysics and Space Science Library 335. Springer, Dordrecht, the Netherlands, 2006. $199.00 (344 pp.). ISBN 1-4020-4055-5
Planets to Cosmology: Essential Science in the Final Years of the Hubble Space Telescope. M. Livio, S. Casertano, eds. Space Telescope Science Institute Symposium Series 18. Proc. symp., Baltimore, MD, May 2004. Cambridge U. Press, New York, 2006. $120.00 (203 pp.). ISBN 0-52184758-3
Pulsar Astronomy. 3rd ed. A. G. Lyne, F. Graham-Smith. Cambridge Astrophysics Series 38. Cambridge U. Press, New York, 2006 [1998]. $150.00 (309 pp.). ISBN 0-52183954-8
August 2006 Physics Today 55
See www.pt.ims.ca/9467-19
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MUSEUM HR GIGER
Château St. Germain, CH–1663 Gruyères, Switzerland
Tel: +41 26 9212200 Fax: +41 26 9212211
E-Mail: [email protected]
1997
September 11: Château St. Germain, a medieval castle, purchased by HR Giger at auction
1998
June 20 (Fête de la Ste Jeanne): Inauguration of the Museum HR Giger.
Director: Prof. Dr. Barbara Gawryziak, Architect: Roger Cottier
December 29: Dedication of the exhibition area for the permanent exhibition of
HR Giger's private collection of Fantastic Art
1999
December 11: Exhibition "Fred Engelbert Knecht" in the expanded museum space 2000
August 4: Opening of the Museum HR Giger Gallery: exhibition of linoprints by François Burland
2001
April 6, Museum HR Giger Gallery: Exhibition "Günter Brus", works from the private collection of HR Giger;
2002
Carmen Scheifele and Ingrid Lehner become the co-directors of the museum replacing the retiring Barbara Gawryziak
March 9, Museum HR Giger Gallery: Exhibition "Claude Sandoz", works of the late 1960s
2003
April 12, Inauguration of the Museum HR Giger Bar, and opening of the Martin Schwarz exhibition, "Amongst The Living" in the Museum HR Giger Gallery, book objects, digital montages, over-painted collages, and collaborative paintings with HR Giger 2004
February 28, Museum HR Giger Gallery: Exhibition "Prof. Ernst Fuchs", paintings, prints, and sculptures
2005
June 25, Museum HR Giger Gallery: Exhibition "Imagine Yourself", art of Rudolf Stüssi 2006
June 17, Museum HR Giger Gallery: Exhibition "Flights of Imagination", selected works from the Society for Art of Imagination
November 18, Museum HR Giger Gallery: Exhibition "Hans Belmer", drawings and graphics 2007
April 14, Museum HR Giger Gallery, Exhibition: ""Wessi", painting and graphics
AUTHORIZED HR GIGER WEBSITES
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For Immediate Release: April 27th, 2014
Who: Adopt A Doe and Families of Missing Persons
What: "Vigil for Spring"
When: 11am --- Noon, Monday, April 28 th , 2014
Where: Just Off Bishop Ford Freeway Exit for 130 St. Near where Spring Doe was Found on April 28, 2005. Exit 130 St.
Turn Right (West) on 130 St., Follow 130 St. to Indiana. Turn Right on Indiana. Look immediately for Sign on Tripod and 10x10 Canopy. If you don't see them, you are either too early, too late or lost. https://[email protected],87.6103175,15z/data=!4m2!3m1!1s0x880e26aa1dc66b9d:0xff6472ea6ccc996a
Why: Ninth Anniversary of Discovery of "Spring Doe", Cook County M.E. 435 -- I am fighting for publicity to help identify her because if my nieces Diamond and Tionda are lying somewhere unidentified, I want someone to be inspired to do the same for them.
Media Contact: Investigator Foster, 847-579-9771-
Thank you for coming to my "Vigil for Spring." Please publicize the facial approximation of Cook County case M.E. 435 so that hopefully someone will recognize her. My "adopted daughter" Spring Doe (M.E. Case 435) was found April 28, 2005 near 13060 S Indiana Ave, Chicago, IL. 60627. No one knows for sure how many years she lay there before she was found. Chicago Police worked very hard to try and solve Spring's case, bringing in renowned Anthropologist Clyde Snow to examine her remains, and most recently having her facial approximation made. Investigator Foster, who has been working hard on the case of my missing nieces Diamond and Tionda will be leading the vigil, where families of missing persons can also speak about their missing loved ones. Public advocates are encouraged to work from home during the vigil, spreading the facial approximation through social media so that hopefully a friend or family member will see it.
I am fighting for publicity to help identify her because if my nieces Diamond and Tionda are lying somewhere unidentified, I want someone to be inspired to do the same for them. I "adopted" ME 435 and named her Spring in 2012. Since that time, some great changes have happened in Chicago for Unidentifeds. Spring was the first Chicago/Cook County Doe listed with NamUs through the combined efforts of Chicago Police, Medical Examiner's Office, NamUs and volunteers. . Many more have been listed since by our Medical Examiner's office. I encourage everyone to visit our Medical Examiner's new Unidentified page and view all of the unidentified listed there. This is just one of the great changes that have been happening at the Cook County Medical Examiner's office since Dr. Stephen Cina took over:
Cook County Medical Examiner's Unidentified Page:
http://www.cookcountygov.com/portal/server.pt/community/medical_examiner,_office_of/307/unidentified_perso ns/735
Spring Doe's NamUs Site: https://identifyus.org/en/cases/10693 NamUs: http://www.namus.gov
Spring Doe Poster on National Center for Missing Children Site:
http://www.missingkids.com/poster/NCMU/1204842/1#poster
More Information can be found on my"Adopt A Doe" Facebook page and Wordpress blog:
https://www.facebook.com/pages/Adopt-A-Doe/405630419521028?ref=hl http://sheliahsmith.wordpress.com Thank you for your help!
Shelia Bradley-Smith
Great Aunt of Missing Children Diamond and Tionda Bradley
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CROSSROADS COLLEGE Music Scholarships
Crossroads College is pleased to offer music scholarships to eligible incoming freshmen, transfer students, and returning students.
No restrictions regarding age, gender, ethnic origin, or denominational affiliation are attached to these scholarships. To qualify for aid, students must:
(1) Declare an intent to major in music at Crossroads College, with music studies beginning in the first year of study;
Complete and return the "Music Scholarship Application Form;" Complete and return the "Application for Admission to the Music Program;"
Complete a two-page essay on why you want to study music;
(2) Demonstrate proficiency vocally or on a musical instrument by auditioning for the Crossroads full-time music faculty by May 15 preceding the year of initial enrollment;
Audition* includes:
Scales/Vocalizes Performance of two pieces in contrasting styles from memory Sight-reading on your instrument or vocally
(3) Interview with Crossroads music faculty (may be done at same time as audition);
(4) Supply 2 letters of reference from music minister and/or music teacher(s);
(5) Show commitment to the Christian ideals of the college;
(6) Maintain a music GPA (courses prefixed MUS) of 2.5 or better in addition to meeting satisfactory academic progress requirements of the college;
(7) Remain a full-time music major at the college for each semester you receive the scholarship.
Awardees are chosen by Crossroads College's full-time music faculty.
*Live auditions are preferred. However, if you are unable to audition in person, a videotaped performance may be substituted. Contact the music department regarding scales and alternate material for the sight-reading requirement. Include a two-page essay on why you want to study music. The deadline for submission of scholarship audition tapes is May 15 prior to the year of initial enrollment. You are also encouraged to apply for federal and state financial aid. Submitted items will not be returned.
CROSSROADS COLLEGE
Music Scholarship Application Form
Part I Personal Information
Name____________________________ Home Phone________________ email ______________
Address________________________________________________________________________
Semester you plan to enroll at Crossroads College: Fall_____ Year _______ Spring _____ Year _____
Primary Applied Area (i.e. voice, piano, guitar, composition, etc.)______________________________
Secondary Instruments (do you play any other instruments?)_________________________________
Please describe important performance activities you have participated in. These may include choir and band (how long), private instruction, solo/ensemble contests or other competitions, musical or nonmusical theatre, church leadership roles, etc.
Part II References (Incoming freshmen and transfer students only)
Please list the names and addresses of at least two references and include a letter from them with this application.
Reference 1
Name__________________________Address______________________________________
Phone________________ email address (optional)____________________________________
Reference 2
Name__________________________Address______________________________________
Phone________________ email address (optional)____________________________________
Part III Additional Items
Include with this Music Scholarship Application Form the following items: two reference letters, two-page essay on why you want to study music, picture of yourself (optional).
Part IV Declaration of Intent
Please declare your intent to study music. I agree to use any Music Scholarship funds I receive in the pursuit of a music major at Crossroads College. I understand that submission of application materials does not guarantee receipt of music scholarships. Furthermore, I agree with the principles and procedures of Crossroads College as set forth in the College Catalog and Student Handbook.
Signature:__________________________________ Today's Date __________________________
Please return Music Scholarship Application Materials to:
Professor Brian Dunbar Crossroads College 920 Mayowood Rd S.W. Rochester, MN 55902
CROSSROADS COLLEGE
Application for Admission to the Music Program
I, _____________________, do hereby apply to be a music major at Crossroads College. I understand that acceptance is based upon several factors, including academic criteria, talent, progress made in performance area, and adaptability to the Crossroads program. I realize that my application will be reviewed after the second semester of study at Crossroads College and that I will be advised of my status.
Area of emphasis (circle one):
Voice
Piano
Instrument (specify: ___________________________)
Composition
Student signature ___________________________________________________
Date ____________________________
Do not write below this line.
__________________________________ is accepted at this time as a music major.
__________________________________ is granted one semester of study on a
probation basis.
Comments:
__________________________________ is not accepted at this time because:
Date ____________________________
Music faculty signature ______________________________________________
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GURU GOBIND SINGH INDRAPRASTHA UNIVERSITY EXAMINATION DIVISION
Decision of the Unfair Means Cases booked / reported during End Semester/Annual/Reappear May-August 2016 Examinations Meeting held on 14.10.2016
_______________________________________________________________________
| S.No | Name | Roll No. | Institute Name | Programme | Paper code |
|---|---|---|---|---|---|
| 1 | NITIN BAWA | 23110303813 | ALS | LLB | LLB 310 |
| 2 | FALACK TYAGI | 07216688515 | USMS | MBA (W) | MBA 102 |
| 3 | MANEET SINGH SAGOO | 03216688515 | USMS | MBA (W) | MBA 104 |
| 4 | AKASH JAIN | 09716688514 | USMS | MBA (W) | MBA 104 |
| 5 | DEEPANSHU MIGLANI | 06316688515 | USMS | MBA (W) | MBA 110 |
| 6 | YOGESH LOHIA | 01350859215 | CBPACS | BAMS | BAMS 102 |
| 7 | DEEPAK KUMAR | 01950859212 | CBPACS | BAMS | BAMS 304 |
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Walter L. Cronkite, Jr. KB2GSD - A retired American journalist, best known for his work as a TV news anchorman. Born November 1916 in St. Joseph, Mo. Walter was raised in Houston, TX, attended U.T. at Austin. After college Walter held newspaper jobs covering news and sports, then broadcasting with WKY Oklahoma City.
Cronkite joined United Press in 1938 and became one of the best on air reporters in WW2, then covered the Nuremburg Trials.
Walter Joined CBS news in 1950 and became a house hold word. During his tenure at CBS Evening News, he was often cited in viewer opinion polls as "The most trusted man in America." because of his experience and professional demeanor. I recall his reporting of the Pres. Kennedy assassination.
February 15 th 2005, Mr. Cronkite had a special report that I have personal significance in. He recorded at CBS studios a narration for (WCC) Chatham Radio, a documentary about Guglielmo Marconi and his Chatham station. Also how WCC became the busiest ship-toshort wireless station in North America from 1914 until 1994. I've always felt Marconi was the original "Old Man" and a real first class CW man. The documentary was directed by Christopher Seufert of Mooncusser Films and premiered at the Chatham (Cape Cod) Marconi Maritime Center April 2005.
Betsy Maxwell Cronkite, the love of Walters life for almost 65 years expired in 2005, she was age 89. There were three children.
I've been privileged to have heard some of the best broadcasters, Cecil Brown, Westbrook Van Voorhis, Lowell Thomas, Huntley & Brinkley, John Cameron Swazy & Walter Cronkite. I do believe they're correct, "The Most Trusted Man in America" was none other than Walter L. Cronkite KB2GSD! Partially scripted from Wikipedia.Com
W8SU 2006
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Vinton Hayworth (1906-1970) [a.k.a. Jack Arnold, Vin Hayworth, Vinton Hayworth, Sr.]
__________________________________________________________________________________
Confirmed Authentic Exemplar
__________________________________________________________________________________
Secretarial Exemplars
None available at present
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1890s: Local Government and More
Most of our graduates from the 90s dedicated themselves to serving in local government. Amey Kin gan-Scott (1890) served as Tecumseh Township's Treasurer for 15 years.
'92 graduate Franc Snell-Gillespie holds the honor of being the first female postmistress in Tecumseh as well as running her late husband's insurance business for 24 years.
William Hicks and Harry Osgood both graduated in 1897 with Hicks going on to play football at the University of Michigan before returning home to serve as Tecumseh Village President. Osgood was a four-time elected Treasurer of Lenawee County and spent 36 years working in that department.
Miss Woodward explaining some intricate whistling to one of her artist students.
Now for the "More." 1891 graduate Anna Agnes Woodward had wanted to be a concert singer after graduation, but an illness ended those dreams. So instead she became one of the world's most promi nent whistlers and an authority on artistic whistling. She was the originator and director of the Agnes Woodward School of Whistling, the only school of its kind in the world. She was the only woman whistler to hold a gold medal for excellency in the whistling arts.
Locally, Naomi North-Williamson (1897), co-au thored the script used in the Tecumseh Centennial Pageant in 1924.
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Periodontitis
From Wikipedia, the free encyclopedia
Periodontitis, also known as pyorrhea, is a set of inflammatory diseases affecting the periodontium, i.e., the tissues that surround and support the teeth. Periodontitis involves progressive loss of the alveolar bone around the teeth, and if left untreated, can lead to the loosening and subsequent loss of teeth. Periodontitis is caused by microorganisms that adhere to and grow on the tooth's surfaces, along with an over-aggressive immune response against these microorganisms. A diagnosis of periodontitis is established by inspecting the soft gum tissues around the teeth with a probe (i.e., a clinical examination) and by evaluating the patient's X-ray films (i.e., a radiographic examination), to determine the amount of bone loss around the teeth. [1] Specialists in the treatment of periodontitis are periodontists; their field is known as "periodontology" or "periodontics".
Contents
◾ 1 Classification
◾ 1.2 Severity
◾ 1.1 Extent
◾ 2 Signs and symptoms
◾ 4 Causes
◾ 3 Associated medical conditions
◾ 5 Mechanism
◾ 7 Management
◾ 6 Prevention
◾ 7.1 Initial therapy
◾ 7.3 Surgery
◾ 7.2 Reevaluation
◾ 7.4 Maintenance
◾ 8 Prognosis
◾ 7.5 Alternative treatments
◾ 9 Epidemiology
◾ 10.1 Etymology
◾ 10 Society and culture
◾ 10.2 Economics
◾ 12 See also
◾ 11 Other animals
◾ 13 Footnotes
◾ 14 External links
https://en.wikipedia.org/wiki/Periodontitis
12/31/2016
Periodontitis
Pronunciation Periodontitis /ˌpɛrioʊdɒnˈtaɪtɪs/, pyorrhea /ˌpaɪəˈriə/
Classification and external resources
Classification
The 1999 classification system for periodontal diseases and conditions listed seven major categories of periodontal diseases, [2] of which 2-6 are termed destructive periodontal disease, because the damage is essentially irreversible. The seven categories are as follows:
1. Gingivitis
2. Chronic periodontitis
3. Aggressive periodontitis
4. Periodontitis as a manifestation of systemic disease
5. Necrotizing ulcerative gingivitis/periodontitis
6. Abscesses of the periodontium
7. Combined periodontic-endodontic lesions
Moreover, terminology expressing both the extent and severity of periodontal diseases are appended to the terms above to denote the specific diagnosis of a particular patient or group of patients.
Extent
The "extent" of disease refers to the proportion of the dentition affected by the disease in terms of percentage of sites. Sites are defined as the positions at which probing measurements are taken around each tooth and, generally, six probing sites around each tooth are recorded, as follows:
1. mesiobuccal
2. mid-buccal
3. distobuccal
4. mesiolingual
5. mid-lingual
6. distolingual
If up to 30% of sites in the mouth are affected, the manifestation is classified as "localized"; for more than 30%, the term "generalized" is used.
Severity
The "severity" of disease refers to the amount of periodontal ligament fibers that have been lost, termed "clinical attachment loss". According to the American Academy of Periodontology, the classification of severity is as follows: [3]
◾ Mild: 1–2 mm (0.039–0.079 in) of attachment loss
◾ Severe: ≥ 5 mm (0.20 in) of attachment loss
◾ Moderate: 3–4 mm (0.12–0.16 in) of attachment loss
Signs and symptoms
In the early stages, periodontitis has very few symptoms, and in many individuals the disease has progressed significantly before they seek treatment.
Symptoms may include:
◾ Redness or bleeding of gums while brushing teeth, using dental floss or biting into hard food (e.g., apples) (though this may occur even in gingivitis, where there is no attachment loss)
Gum swelling that recurs
◾
◾ Halitosis, or bad breath, and a persistent metallic taste in the mouth
◾ Spitting out blood after brushing teeth
◾ Gingival recession, resulting in apparent lengthening of teeth. (This may also be caused by heavy-handed brushing or with a stiff toothbrush.)
https://en.wikipedia.org/wiki/Periodontitis
◾ Deep pockets between the teeth and the gums (pockets are sites where the attachment has been gradually destroyed by collagen-destroying enzymes, known as collagenases)
◾ Loose teeth, in the later stages (though this may occur for other reasons, as well)
Patients should realize gingival inflammation and bone destruction are largely painless. Hence, people may wrongly assume painless bleeding after teeth cleaning is insignificant, although this may be a symptom of progressing periodontitis in that patient.
Associated medical conditions
Periodontitis has been linked to increased inflammation in the body, such as indicated by raised levels of C-reactive protein and interleukin-6. [4][5][6][7] It is linked through this to increased risk of stroke, [8][9] myocardial infarction, [10] and atherosclerosis.
1: Total loss of attachment (clinical attachment loss, CAL) is the sum of 2: Gingival recession, and 3: Probing depth
[11][12][13][14][15][16][17] It also linked in those over 60 years of age to impairments in delayed memory and calculation abilities. [18][19] Individuals with impaired fasting glucose and diabetes mellitus have higher degrees of periodontal inflammation, and often have difficulties with balancing their blood glucose level owing to the constant systemic inflammatory state, caused by the periodontal inflammation. [20][21] Although no causal association was proven, a recent study showed correlation between chronic periodontitis and erectile dysfunction. [22]
Causes
Periodontitis is an inflammation of the periodontium, i.e., the tissues that support the teeth. The periodontium consists of four tissues:
◾ gingiva, or gum tissue,
◾ alveolar bone, or the bony sockets into which the teeth are anchored, and
◾ cementum, or outer layer of the roots of teeth,
◾ periodontal ligaments (PDLs), which are the connective tissue fibers that run between the cementum and the alveolar bone.
The primary etiology (cause) of gingivitis is poor or ineffective oral hygiene, which leads to the accumulation of a mycotic [23][24][25][26] and bacterial matrix at the gum line, called dental plaque. Other contributors are poor nutrition and underlying medical issues such as diabetes. [27] Diabetics must be meticulous with their homecare to control periodontal disease. [28] New finger prick tests have been approved by the Food and Drug Administration in the US, and are being used in dental offices to identify and screen patients for possible contributory causes of gum disease, such as diabetes.
In some people, gingivitis progresses to periodontitis – with the destruction of the gingival fibers, the gum tissues separate from the tooth and deepened sulcus, called a periodontal pocket. Subgingival microorganisms (those that exist under the gum line) colonize the periodontal pockets and cause further inflammation in the gum tissues and progressive bone loss. Examples of secondary etiology are those things that, by definition, cause microbic plaque accumulation, such as restoration overhangs and root proximity.
Smoking is another factor that increases the occurrence of periodontitis, directly or indirectly, [29][30][31] and may interfere with or adversely affect its treatment. [32][33][34]
Ehlers–Danlos syndrome is a periodontitis risk factor and so is the Papillon-Lefèvre syndrome also known as palmoplantar keratoderma.
If left undisturbed, microbial plaque calcifies to form calculus, which is commonly called tartar. Calculus above and below the gum line must be removed completely by the dental hygienist or dentist to treat gingivitis and periodontitis. Although the primary cause of both gingivitis and periodontitis is the microbial plaque that adheres to the tooth surfaces, there are many https://en.wikipedia.org/wiki/Periodontitis
other modifying factors. A very strong risk factor is one's genetic susceptibility. Several conditions and diseases, including Down syndrome, diabetes, and other diseases that affect one's resistance to infection, also increase susceptibility to periodontitis.
The excess restorative material that exceeds the natural contours of restored teeth, such as these, are termed "overhangs", and serve to trap microbic plaque, potentially leading to localized periodontitis.
Another factor that makes periodontitis a difficult disease to study is that human host response can also affect the alveolar bone resorption. Host response to the bacterial-mycotic insult is mainly determined by genetics; however, immune development may play some role in susceptibility.
According to some researchers periodontitis may be associated with higher stress. [35] Periodontitis occurs more often in people from the lower end of the socioeconomic scale than people from the upper end of the socioeconomic scale. [36]
Mechanism
As dental plaque or biofilm accumulates on the teeth near and below the gums, there is a shift in the composition of the biofilm from essentially streptococcus to an actinomyces dominant plaque. Motile bacteria is also seen more frequently. [37] As this happens, inflammation sets in the gingiva. Initially, this takes the form of gingivitis, which represents inflammation confined to the soft tissues above the bone level. Inflammation in the gingiva can remain at the gingivitis level for a long period and will not progress to periodontitis, unless in the presence of local conditions or generalized host susceptibility. [38] When this shift occurs, the immune system's response to plaque accumulation shifts from a predominantly neutrophilic mediated response to lymphocytic and plasma cell-mediated response. [39] Clinically, the gingiva presents swelling, redness and a tendency to bleed. This modifies the environment, leading to changes in the composition of the biofilm itself. As this happens, a predominantly gram-negative environment is established, with periodontal pathogens emerging. These include A. actinomycetemcomitans, the red complex bacteria (P. gingivalis, T. Forsythia, T denticola) and to a lesser extent the orange complex bacteria (F nucleatum, P micros, P.intermedia, P. nigrecens, E. nodatum and S. constellates). [40] Strongest bacterial association to chronic periodontitis is with P. Gingivalis. Numerous virulence factors have been identified for this pathogen. This allows P. gingivalis to elude defense mechanism and perpetuate inflammation inside the periodontium. Prolonged inflammation in the periodontium leads to an apical shift in the attachment of the gingiva to the tooth with deepening pockets and bone loss around the teeth. Untreated periodontitis progresses unevenly over time but results in loss of function, tissue destruction, and tooth loss.
Prevention
Daily oral hygiene measures to prevent periodontal disease include:
◾ Brushing properly on a regular basis (at least twice daily), with the patient attempting to direct the toothbrush bristles underneath the gumline, helps disrupt the bacterial-mycotic growth and formation of subgingival plaque.
◾ Using an antiseptic mouthwash: Chlorhexidine gluconate-based mouthwash in combination with careful oral hygiene may cure gingivitis, although they cannot reverse any attachment loss due to periodontitis.
◾ Flossing daily and using interdental brushes (if the space between teeth is large enough), as well as cleaning behind the last tooth, the third molar, in each quarter
◾ Using periodontal trays to maintain dentist-prescribed medications at the source of the disease: The use of trays allows the medication to stay in place long enough to penetrate the biofilms where the microorganism are found.
https://en.wikipedia.org/wiki/Periodontitis
◾ Regular dental check-ups and professional teeth cleaning as required: Dental check-ups serve to monitor the person's oral hygiene methods and levels of attachment around teeth, identify any early signs of periodontitis, and monitor response to treatment.
◾ Microscopic evaluation of biofilm may serve as a guide to regaining commensal health flora. [41]
Typically, dental hygienists (or dentists) use special instruments to clean (debride) teeth below the gumline and disrupt any plaque growing below the gumline. This is a standard treatment to prevent any further progress of established periodontitis. Studies show that after such a professional cleaning (periodontal debridement), microbial plaque tends to grow back to precleaning levels after about three to four months. Nonetheless, the continued stabilization of a patient's periodontal state depends largely, if not primarily, on the patient's oral hygiene at home, as well as on the go. Without daily oral hygiene, periodontal disease will not be overcome, especially if the patient has a history of extensive periodontal disease.
Periodontal disease and tooth loss are associated with an increased risk, in male patients, of cancer. [42]
Contributing causes may be high alcohol consumption or a diet low in antioxidants. [43]
Management
The cornerstone of successful periodontal treatment starts with establishing excellent oral hygiene. This includes twice-daily brushing with daily flossing. Also, the use of an interdental brush is helpful if space between the teeth allows. For smaller spaces, products such as narrow picks with soft rubber bristles provide excellent manual cleaning. Persons with dexterity problems, such as arthritis, may find oral hygiene to be difficult and may require more frequent professional care and/or the use of a powered toothbrush. Persons with periodontitis must realize it is a chronic inflammatory disease and a lifelong regimen of excellent hygiene and professional maintenance care with a dentist/hygienist or periodontist is required to maintain affected teeth.
Initial therapy
Removal of microbial plaque and calculus is necessary to establish periodontal health. The first step in the treatment of periodontitis involves nonsurgical cleaning below the gumline with a procedure called scaling and debridement. In the past, root planing was used (removal of the cemental layer as well as calculus). This procedure involves the use of specialized curettes to mechanically remove plaque and calculus from below the gumline, and may require multiple visits and local anesthesia to adequately complete. In addition to initial scaling and root planing, it may also be necessary to adjust the occlusion (bite) to prevent excessive force on teeth that have reduced bone support. Also, it may be necessary to complete any other dental needs, such as replacement of rough, plaque-retentive restorations, closure of open contacts between teeth, and any other requirements diagnosed at the initial evaluation.
Reevaluation
Multiple clinical studies have shown nonsurgical scaling and root planing are usually successful if the periodontal pockets are shallower than 4–5 mm (0.16–0.20 in). [44][45][46] The dentist or hygienist must perform a re-evaluation four to six weeks after the initial scaling and root planing, to determine if the patient's oral hygiene has improved and inflammation has regressed. Probing should be avoided then, and an analysis by gingival index should determine the presence or absence of inflammation. The monthly reevaluation of periodontal therapy should involve periodontal charting as a better indication of the success of treatment, and to see if other courses of treatment can be identified. Pocket depths of greater than 5–6 mm (0.20–0.24 in) which remain after initial therapy, with bleeding upon probing, indicate continued active disease and will very likely lead to further bone loss over time. This is especially true in molar tooth sites where furcations (areas between the roots) have been exposed.
Surgery
If nonsurgical therapy is found to have been unsuccessful in managing signs of disease activity, periodontal surgery may be needed to stop progressive bone loss and regenerate lost bone where possible. Many surgical approaches are used in the treatment of advanced periodontitis, including open flap debridement and osseous surgery, as well as guided tissue regeneration and bone grafting. The goal of periodontal surgery is access for definitive calculus removal and surgical management of bony irregularities which have resulted from the disease process to reduce pockets as much as possible. Long- https://en.wikipedia.org/wiki/Periodontitis
term studies have shown, in moderate to advanced periodontitis, surgically treated cases often have less further breakdown over time and, when coupled with a regular post-treatment maintenance regimen, are successful in nearly halting tooth loss in nearly 85% of patients. [47][48]
Maintenance
Once successful periodontal treatment has been completed, with or without surgery, an ongoing regimen of "periodontal maintenance" is required. This involves regular checkups and detailed cleanings every three months to prevent repopulation of periodontitis-causing microorganisms, and to closely monitor affected teeth so early treatment can be rendered if the disease recurs. Usually, periodontal disease exists due to poor plaque control, therefore if the brushing techniques are not modified, a periodontal recurrence is probable.
Alternative treatments
Periodontitis has an inescapable relationship with subgingival calculus (tartar). The first step in any procedure is to eliminate calculus under the gum line, as it houses destructive anaerobic microorganisms that consume bone, gum and cementum (connective tissue) for food.
Most alternative "at-home" gum disease treatments involve injecting antimicrobial solutions, such as hydrogen peroxide, into periodontal pockets via slender applicators or oral irrigators. This process disrupts anaerobic micro-organism colonies and is effective at reducing infections and inflammation when used daily. A number of other products, functionally equivalent to hydrogen peroxide, are commercially available, but at substantially higher cost. However, such treatments do not address calculus formations, and so are short-lived, as anaerobic microbial colonies quickly regenerate in and around calculus.
Doxycycline may be given alongside the primary therapy of scaling (see § initial therapy). [49] Doxycycline has been shown to improve indicators of disease progression (namely probing depth and attachment level). [49] Its mechanism of action involves inhibition of matrix metalloproteinases (such as collagenase), which degrade the teeth's supporting tissues (periodontium) under inflammatory conditions. [49] To avoid killing beneficial oral microbes, only small doses of doxycycline (20 mg) are used. [49]
Prognosis
This section from a panoramic X-ray film depicts the teeth of the lower left quadrant, exhibiting generalized severe bone loss of 30–80%. The red line depicts the existing bone level, whereas the yellow line depicts where the gingiva was located originally (1–2 mm above the bone), prior to the patient developing periodontal disease. The pink arrow, on the right, points to a furcation involvement, or the loss of enough bone to reveal the location at which the individual roots of a molar begin to branch from the single root trunk; this is a sign of advanced periodontal disease. The blue arrow, in the middle, shows up to 80% bone loss on tooth #21, and clinically, this tooth exhibited gross mobility. Finally, the peach oval, to the left, highlights the aggressive nature with which periodontal disease generally affects mandibular incisors. Because their roots are generally situated very close to each other, with minimal interproximal bone, and because of their location in the mouth, where plaque and calculus accumulation is greatest because of the pooling of saliva, mandibular anteriors suffer excessively. The split in the red line depicts varying densities of bone that contribute to a vague region of definitive bone height.
Dentists and dental hygienists measure periodontal disease using a device called a periodontal probe. This thin "measuring stick" is gently placed into the space between the gums and the teeth, and slipped below the gumline. If the probe can slip more than 3 mm (0.12 in) below the gumline, the patient is said to have a gingival pocket if no migration of the epithelial attachment has occurred or a periodontal pocket if apical migration has occurred. This is somewhat of a misnomer, as any depth is, in essence, a pocket, which in turn is defined by its depth, i.e., a 2-mm pocket or a 6-mm pocket. However, pockets are generally accepted as self-cleansable (at home, by the patient, with a toothbrush) if they are 3 mm or less in depth. This is important because if a pocket is deeper than 3 mm around the tooth, at-home care will not be sufficient to cleanse the pocket, and professional care should be sought. When the pocket depths reach 6 to 7 mm (0.24 to 0.28 in) in depth, the hand instruments and cavitrons used by the dental professionals may not reach deeply enough into the pocket to clean out the microbial plaque that causes gingival inflammation. In such a situation, the bone or the gums around that tooth should be surgically altered or it will always have inflammation which will likely result in more bone loss around that tooth. An additional way to stop the inflammation would be for the patient to receive subgingival antibiotics (such as minocycline) or undergo some form of gingival surgery to access the depths of the pockets and perhaps even change the pocket depths so they become 3 mm or less in depth and can once again be properly cleaned by the patient at home with his or her toothbrush.
https://en.wikipedia.org/wiki/Periodontitis
If patients have 7-mm or deeper pockets around their teeth, then they would likely risk eventual tooth loss over the years. If this periodontal condition is not identified and the patients remain unaware of the progressive nature of the disease, then years later, they may be surprised that some teeth will gradually become loose and may need to be extracted, sometimes due to a severe infection or even pain.
According to the Sri Lankan tea laborer study, in the absence of any oral hygiene activity, approximately 10% will suffer from severe periodontal disease with rapid loss of attachment (>2 mm/year). About 80% will suffer from moderate loss (1 –2 mm/year) and the remaining 10% will not suffer any loss. [50][51]
Epidemiology
Periodontitis is very common, and is widely regarded as the second most common dental disease worldwide, after dental decay, and in the United States has a prevalence of 30–50% of the population, but only about 10% have severe forms.
Chronic periodontitis affects about 750 million people or about 10.8% of the population as of 2010. [53]
Like other conditions intimately related to access to hygiene and basic medical monitoring and care, periodontitis tends to be more common in economically disadvantaged populations or regions. Its occurrence decreases with a higher standard of living. In Israeli population, individuals of Yemenite, North-African, South Asian, or Mediterranean origin have higher prevalence of periodontal disease than individuals from European descent. [54] Periodontitis is frequently reported to be socially patterned, i.e. people from the lower end of the socioeconomic scale suffer more often from it than people from the upper end of the socioeconomic scale. [55]
Society and culture
Disability-adjusted life year for peridontal disease per
100,000 inhabitants in 2004. [52]
no data
6-6.5
<3.5
3.5-4
4-4.5
4.5-5
5-5.5
5.5-6
Etymology
The word "periodontitis" (Greek: περιοδοντίτις) comes from the Greek peri, "around", odous (GEN odontos), "tooth", and the suffix -itis, in medical terminology "inflammation". [56] The word pyorrhea (alternative spelling: pyorrhoea) comes from the Greek pyorrhoia (πυόρροια), "discharge of matter", itself from pyon, "discharge from a sore", rhoē, "flow", and the suffix -ia. [57] In English this term can describe, as in Greek, any discharge of pus; i.e. it is not restricted to these diseases of the teeth. [58]
Economics
It is estimated that periodontitis results in worldwide productivity losses in the size of about US$54 billion yearly. [59]
Other animals
Periodontal disease is the most common disease found in dogs and affects more than 80% of dogs aged three years or older. Its prevalence in dogs increases with age, but decreases with increasing body weight; i.e., toy and miniature breeds are more severely affected. Recent research undertaken at the Waltham Centre for Pet Nutrition has established that the bacteria associated with gum disease in dogs are not the same as in humans. [60] Systemic disease may develop because the gums are very vascular (have a good blood supply). The blood stream carries these anaerobic micro-organisms, and they are filtered out by the kidneys and liver, where they may colonize and create microabscesses. The microorganisms traveling through the blood may also attach to the heart valves, causing vegetative infective endocarditis (infected heart valves). Additional diseases that may result from periodontitis include chronic bronchitis and pulmonary fibrosis. [61]
https://en.wikipedia.org/wiki/Periodontitis
12/31/2016
6.5-7
7-7.5
7.5-8
8-8.5
>8.5
See also
◾ Actinomyces naeslundii
◾ Candida albicans
◾ Campylobacter
◾ Chronic periodontitis
Dental implant
◾ ◾
◾ Dental plaque
Edentulism
◾ Epidemiology of periodontal diseases
◾ Gum graft
◾ Gingivitis
◾ Head and neck anatomy
◾ Oral microbiology
Footnotes
1. Savage, Amir; Eaton, Kenneth A.; Moles, David R.; Needleman, Ian (2009). "A systematic review of definitions of periodontitis and methods that have been used to identify this disease". Journal of Clinical Periodontology. 36 (6): 458–467. doi:10.1111/j.1600051X.2009.01408.x. PMID 19508246.
2. Armitage, Gary C. (1999). "Development of a classification system for periodontal diseases and conditions". Annals of Periodontology. 4 (1). pp. 1–6. doi:10.1902/annals.19188.8.131.52.
3. "The Periodontal Disease Classification System of the American Academy of Periodontology — An Update". American Academy of Periodontology.
4. D'Aiuto, Francesco; Parkar, Mohammed; Andreou, Georgios; Suvan, Hannu; Brett, Peter M.; Ready, Derren; Tonetti, Maurizio S. (2004). "Periodontitis and systemic inflammation: control of the local infection is associated with a reduction in serum inflammatory markers". J Dent Res. 83 (2): 156–160. doi:10.1177/154405910408300214. PMID 14742655.
5. Nibali, Luigi; D'Aiuto, Francesco; Griffiths, Gareth; Patel, Kalpesh; Suvan, Jean; Tonetti, Maurizio S. (2007). "Severe periodontitis is associated with systemic inflammation and a dysmetabolic status: a case-control study". Journal of Clinical Periodontology. 34 (11): 931–7. doi:10.1111/j.1600-051X.2007.01133.x. PMID 17877746.
6. Paraskevas, Spiros; Huizinga, John D.; Loos, Bruno G. (2008). "A systematic review and meta-analyses on C-reactive protein in relation to periodontitis". Journal of Clinical Periodontology. 35 (4): 277–290. doi:10.1111/j.1600-051X.2007.01173.x. PMID 18294231.
7. D'Aiuto, Francesco; Ready, Derren; Tonetti, Maurizio S. (2004). "Periodontal disease and C-reactive protein-associated cardiovascular risk". Journal of Periodontal Research. 39 (4): 236–241. doi:10.1111/j.1600-0765.2004.00731.x. PMID 15206916.
8. Pussinen PJ, Alfthan G, Jousilahti P, Paju S, Tuomilehto J (2007). "Systemic exposure to Porphyromonas gingivalis predicts incident stroke". Atherosclerosis. 193 (1): 222–8. doi:10.1016/j.atherosclerosis.2006.06.027. PMID 16872615.
9. Pussinen PJ, Alfthan G, Rissanen H, Reunanen A, Asikainen S, Knekt P (September 2004). "Antibodies to periodontal pathogens and stroke risk". Stroke. 35 (9): 2020–3. doi:10.1161/01.STR.0000136148.29490.fe. PMID 15232116.
10. Pussinen PJ, Alfthan G, Tuomilehto J, Asikainen S, Jousilahti P (October 2004). "High serum antibody levels to Porphyromonas gingivalis predict myocardial infarction". European Journal of Cardiovascular Prevention & Rehabilitation. 11 (5): 408–11. doi:10.1097/01.hjr.0000129745.38217.39. PMID 15616414.
11. Ford PJ, Gemmell E, Timms P, Chan A, Preston FM, Seymour GJ (2007). "Anti-P. gingivalis response correlates with atherosclerosis". J Dent Res. 86 (1): 35–40. doi:10.1177/154405910708600105. PMID 17189460.
12. Beck, James D.; Eke, Paul; Heiss, Gerardo; Madianos, Phoebus; Couper, David; Lin, Dongming; Moss, Kevin; Elter, John; Offenbacher, Steven (2005). "Periodontal Disease and Coronary Heart Disease : A Reappraisal of the Exposure". Circulation. 112 (1): 19–24. doi:10.1161/CIRCULATIONAHA.104.511998. PMID 15983248.
13. Scannapieco, Frank A.; Bush, Renee B.; Paju, Susanna (2003). "Associations Between Periodontal Disease and Risk for Atherosclerosis, Cardiovascular Disease, and Stroke. A Systematic Review". Annals of Periodontology. 8 (1): 38–53. doi:10.1902/annals.2003.8.1.38. PMID 14971247.
14. Wu, Tiejian; Trevisan, Maurizio; Genco, Robert J.; Dorn, Joan P.; Falkner, Karen L.; Sempos, Christopher T. (2000). "Periodontal Disease and Risk of Cerebrovascular Disease: The First National Health and Nutrition Examination Survey and Its Follow-up Study". Archives of International Medicine. 160 (18): 2749–2755. doi:10.1001/archinte.160.18.2749. PMID 11025784.
15. Beck, James D.; Elter, John R.; Heiss, Gerardo; Couper, David; Mauriello, Sally M.; Offenbacher, Steven (2001). "Relationship of Periodontal Disease to Carotid Artery Intima-Media Wall Thickness : The Atherosclerosis Risk in Communities (ARIC) Study". Arteriosclerosis, Thrombosis, and Vascular Biology. 21 (11): 1816–1822. doi:10.1161/hq1101.097803.
16. Elter, John R.; Champagne, Catherine M.E.; Beck, James D.; Offenbacher, Steven (2004). "Relationship of Periodontal Disease and Tooth Loss to Prevalence of Coronary Heart Disease". Journal of Periodontology. 75 (6): 782–790. doi:10.1902/jop.2004.75.6.782. PMID 15295942.
17. Humphrey, Linda L.; Fu, Rongwei; Buckley, David I.; Freeman, Michele; Helfand, Mark (2008). "Periodontal Disease and Coronary Heart Disease Incidence: A Systematic Review and Meta-analysis". Journal of General Internal Medicine. 23 (12): 2079–2086. doi:10.1007/s11606-008-0787-6. PMC 2596495 . PMID 18807098.
18. Noble JM, Borrell LN, Papapanou PN, Elkind MS, Scarmeas N, Wright CB (2009). "Periodontitis is associated with cognitive impairment among older adults: analysis of NHANES-III". J Neurol Neurosurg Psychiatry. 80 (11): 1206–11. doi:10.1136/jnnp.2009.174029. PMC 3073380 . PMID 19419981.
https://en.wikipedia.org/wiki/Periodontitis
12/31/2016
◾ LANAP
◾ Osteoimmunology
◾ Tooth loss
◾ Periodontist
◾ Gingival recession
◾ Drug discovery and development of MMP inhibitors
19. Kaye, Elizabeth Krall; Valencia, Aileen; Baba, Nivine; Spiro III, Avron; Dietrich, Thomas; Garcia, Raul I. (2010). "Tooth Loss and Periodontal Disease Predict Poor Cognitive Function in Older Men". Journal of the American Geriatrics Society. 58 (4): 713–718. doi:10.1111/j.1532-5415.2010.02788.x. PMID 20398152.
20. Zadik Y, Bechor R, Galor S, Levin L (May 2010). "Periodontal disease might be associated even with impaired fasting glucose". Br Dent J. 208 (10): e20. doi:10.1038/sj.bdj.2010.291. PMID 20339371.
21. Soskolne WA, Klinger A (December 2001). "The relationship between periodontal diseases and diabetes: an overview". Ann Periodontol. 6 (1): 91–8. doi:10.1902/annals.2001.6.1.91. PMID 11887477.
22. Zadik Y, Bechor R, Galor S, Justo D, Heruti RJ (April 2009). "Erectile dysfunction might be associated with chronic periodontal disease: two ends of the cardiovascular spectrum". J Sex Med. 6 (4): 1111–6. doi:10.1111/j.1743-6109.2008.01141.x. PMID 19170861.
23. Crich, Aubrey (1932). "Blastomycosis of the gingiva and jaw". Can Med Assoc J. 26 (6): 662–5. PMC 402380 . PMID 20318753.
24. Urzúa B, Hermosilla G, Gamonal J, Morales-Bozo I, Canals M, Barahona S, Cóccola C, Cifuentes V (2008). "Yeast diversity in the oral microbiota of subjects with periodontitis: Candida albicans and Candida dubliniensis colonize the periodontal pockets". Med Mycol. 46 (8): 783–93. doi:10.1080/13693780802060899. PMID 18608938.
25. Matsuo, Toshihiko; Nakagawa, Hideki; Matsuo, Nobuhiko; Matsuo, Nobuhiko (1995). "Endogenous Aspergillus endophthalmitis associated with periodontitis". Ophthalmologica. 209 (2): 109–11. doi:10.1159/000310592. PMID 7746643.
26. Migliari, Dante A.; Sugaya, Norberto N.; Mimura, Maria A.; Cucé, Luiz Carlos (1998). "Periodontal aspects of the juvenile form of paracoccidioidomycosis". Revista do Instituto de Medicina Tropical de São Paulo. 40 (1). doi:10.1590/S0036-46651998000100004. ISSN 0036-4665.
27. Lalla, Evanthia; Cheng, Bin; Lal, Shantanu; Kaplan, Selma; Softness, Barney; Greenberg, Ellen; Goland, Robin S.; Lamster, Ira B. (2007). "Diabetes mellitus promotes periodontal destruction in children". Journal of Clinical Periodontology. 34 (4): 294–8. doi:10.1111/j.1600-051X.2007.01054.x. PMID 17378885.
28. http://drstevenlandin.com/faq-gumdisprev.html
29. Obeid, Patrick; Bercy, P. (2000). "Effects of smoking on periodontal health: A review". Advances in Therapy. 17 (5): 230–7. doi:10.1007/BF02853162. PMID 11186143.
30. Tomar, Scott L.; Asma, Samira (2000). "Smoking-Attributable Periodontitis in the United States: Findings From NHANES III". Journal of Periodontology. 71 (5): 743–751. doi:10.1902/jop.2000.71.5.743. PMID 10872955.
31. Ryder, Mark I. (2007). "The influence of smoking on host responses in periodontal infections". Periodontology 2000. 43 (1): 267 –277. doi:10.1111/j.1600-0757.2006.00163.x. PMID 17214844.
32. Pauletto, Nathalie C.; Liede, Kirsti; Nieminen, Anja; Larjava, Hannu; Uitto, Veli-Jukka (2000). "Effect of Cigarette Smoking on Oral Elastase Activity in Adult Periodontitis Patients". Journal of Periodontology. 71 (1): 58–62. doi:10.1902/jop.2000.71.1.58. PMID 10695939.
33. Persson, Lena; Bergström, Jan; Gustafsson, Anders (2003). "Effect of Tobacco Smoking on Neutrophil Activity Following Periodontal Surgery". Journal of Periodontology. 74 (10): 1475–82. doi:10.1902/jop.2003.74.10.1475. PMID 14653394.
34. Bergström, Jan; Boström, Lennart (2001). "Tobacco smoking and periodontal hemorrhagic responsiveness". Journal of Clinical Periodontology. 28 (7): 680–5. doi:10.1034/j.1600-051x.2001.028007680.x. PMID 11422590.
35. Peruzzo, Daiane C.; Benatti, Bruno B.; Ambrosano, Glaucia M.B.; Nogueira-Filho, Getúlio R.; Sallum, Enilson A.; Casati, Márcio Z.; Nociti Jr., Francisco H. (2007). "A Systematic Review of Stress and Psychological Factors as Possible Risk Factors for Periodontal Disease". Journal of Periodontology. 78 (8): 1491–1504. doi:10.1902/jop.2007.060371. PMID 17668968.
36. Watt RG, Listl S, Peres MA, Heilmann A, editors. Social inequalities in oral health: from evidence to action
(http://nebula.wsimg.com/604637088cabf4db588c57f1fc1d8029?
AccessKeyId=72A54FA9729E02B94516&disposition=0&alloworigin=1). London: International Centre for Oral Health Inequalities
Research & Policy
37. Listgarten MA, Hellden L. Relative distribution of bacteria at clinically healthy and periodontally diseased sites in human" J Clin Periodontol 1978;5:115-132.>
38. Offenbacher, S. (1996). Periodontal diseases: pathogenesis. Ann. Periodontol. 1, 821–878. doi:10.1902/annals.19184.108.40.2061> (https://dx.doi.org/10.1902%2Fannals.19220.127.116.111%3E)
39. Page R, Schroeder HE. Pathogenesis of inflammatory periodontal disease. A summary of current work" Lab Invest 1976;33:235249.>
40. Socransky SS, Haffajee AD, Cugini MA, Smith C, Kent RL Jr. Microbial complexes in subgingival plaque" J Clin Periodontol 1998;25:134-144.
41. Bonner M. To Kiss or Not to Kiss. A cure for gum disease. Amyris Editions, 2013 EAN : 978-28755-2016-6
42. Michaud, Dominique S.; Liu, Yan; Meyer, Mara; Giovannucci, Edward; Joshipura, Kaumudi (2008). "Periodontal disease, tooth loss, and cancer risk in male health professionals: a prospective cohort study". Lancet Oncol. 9 (6): 550–8. doi:10.1016/S1470-2045 (08)70106-2. PMC 2601530 . PMID 18462995.
43. First Evidence Found Of Link Between Gum Disease And High Alcohol Consumption, Low Dietary Antioxidants (http://www.scienceblog.com/community/older/1999/D/199903194.html)
44. Stambaugh RV, Dragoo M, Smith DM, Carasali L (1981). "The limits of subgingival scaling". Int J Periodontics Restorative Dent. 1 (5): 30–41. PMID 7047434.
45. Waerhaug J (January 1978). "Healing of the dento-epithelial junction following subgingival plaque control. I. As observed in human biopsy material". J Periodontol. 49 (1): 1–8. doi:10.1902/jop.1918.104.22.168. PMID 340634.
46. Waerhaug J (March 1978). "Healing of the dento-epithelial junction following subgingival plaque control. II: As observed on extracted teeth". J Periodontol. 49 (3): 119–34. doi:10.1902/jop.1922.214.171.124. PMID 288899.
47. Kaldahl WB, Kalkwarf KL, Patil KD, Molvar MP, Dyer JK (February 1996). "Long-term evaluation of periodontal therapy: II. Incidence of sites breaking down". J. Periodontol. 67 (2): 103–8. doi:10.1902/jop.19126.96.36.199. PMID 8667129.
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48. Hirschfeld L, Wasserman B (May 1978). "A long-term survey of tooth loss in 600 treated periodontal patients". J. Periodontol. 49 (5): 225–37. doi:10.1902/jop.19188.8.131.52. PMID 277674.
49. Caton J, Ryan ME (2011). "Clinical studies on the management of periodontal diseases utilizing subantimicrobial dose doxycycline (SDD)". Pharmacol. Res. 63 (2): 114–20. doi:10.1016/j.phrs.2010.12.003.
50. Preus HR, Anerud A, Boysen H, Dunford RG, Zambon JJ, Loe H (1995). "The natural history of periodontal disease. The correlation of selected microbiological parameters with disease severity in Sri Lankan tea workers". J Clin Periodontol. 22 (9): 674–8. doi:10.1111/j.1600-051X.1995.tb00825.x. PMID 7593696.
51. Ekanayaka, Asoka (1984). "Tooth mortality in plantation workers and residents in Sri Lanka". Community Dent Oral Epidemiol. 12 (2): 128–35. doi:10.1111/j.1600-0528.1984.tb01425.x. PMID 6584263.
52. "Mortality and Burden of Disease Estimates for WHO Member States in 2002" (xls). World Health Organization. 2002.
53. Vos, T; Flaxman, Abraham D; Naghavi, Mohsen; Lozano, Rafael; Michaud, Catherine; Ezzati, Majid; Shibuya, Kenji; Salomon,
Joshua A; Abdalla, Safa; Aboyans, Victor; Abraham, Jerry; Ackerman, Ilana; Aggarwal, Rakesh; Ahn, Stephanie Y; Ali,
Mohammed K; Almazroa, Mohammad A; Alvarado, Miriam; Anderson, H Ross; Anderson, Laurie M; Andrews, Kathryn G;
Atkinson, Charles; Baddour, Larry M; Bahalim, Adil N; Barker-Collo, Suzanne; Barrero, Lope H; Bartels, David H; Basáñez, Maria-
Gloria; Baxter, Amanda; Bell, Michelle L; et al. (Dec 15, 2012). "Years lived with disability (YLDs) for 1160 sequelae of 289
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54. Zadik Y, Bechor R, Shochat Z, Galor S; Bechor; Shochat; Galor (April 2008). "Ethnic origin and alveolar bone loss in Israeli adults". Refuat Hapeh Vehashinayim (in Hebrew). 25 (2): 19–22, 72. PMID 18780541.
55. Watt RG, Listl S, Peres MA, Heilmann A, editors. Social inequalities in oral health: from evidence to action (http://nebula.wsimg.com/604637088cabf4db588c57f1fc1d8029?
AccessKeyId=72A54FA9729E02B94516&disposition=0&alloworigin=1). London: International Centre for Oral Health Inequalities Research & Policy; www.icohirp.com
56. Harper, Douglas. "periodontitis". Online Etymology Dictionary. Harper, Douglas. "periodontal". Online Etymology Dictionary. ὀδούς (http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=o)dou/s), ὀδών (http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=o)dw/n). Liddell, Henry George; Scott, Robert; Greek–English Lexicon at the Perseus Project. 57. πυόρροια (http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=puo/rroia), πύον
A
(http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=pu/on),ῥοή
(http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=r(oh/); cf. πυορροέω
(http://www.perseus.tufts.edu/hopper/text?doc=Perseus:text:1999.04.0057:entry=puorroe/w) in Liddell and Scott. Harper, Douglas. "-ia". Online Etymology Dictionary.
58. "pyorrhea". Merriam-Webster Online.
59. Listl, S.; Galloway, J.; Mossey, P. A.; Marcenes, W. (28 August 2015). "Global Economic Impact of Dental Diseases". Journal of Dental Research. 94: 1355–1361. doi:10.1177/0022034515602879.
60. Dewhirst FE, Klein EA, Thompson EC, Blanton JM, Chen T, Milella L, et al. (2012) The Canine Oral Microbiome. PLoS ONE 7(4): e36067
61. Muller-Esnault, Susan, DVM. "Periodontal Disease in the Dog and Cat" (2009). http://www.critterology.com/articles/periodontaldisease-dog-and-cat
External links
◾ Advanced stage of gum disease is periodontitis (http://www.helpmedentist.com/gum_disease.html) Gum disease causes and treatment
◾ Canadian Academy of Periodontology — What is periodontitis? (http://www.capacp.ca/en/public/periodontal_disease.htm)
◾ Mayo Clinic (http://www.mayoclinic.com/invoke.cfm?id=DS00369)
◾ Healthy behaviors equal healthy gums
(http://www.colgate.com/app/Colgate/US/OC/Information/ADA/Article_2005_08_ADAHealthyBehaviorsGums.cvsp)
— An article from ADA (American Dental Association)
◾ Periodontal disease (http://www.webdentist.in/your-dental-library-detail/what-is-periodontal-disease)
◾ Gum disease in dogs treatment & symptoms (http://www.dogtips.co/gum-disease-in-dogs/) — Dog health care sheet on spotting the symptoms of gum disease in dogs.
◾ Periodontal disease in dogs and cats (http://www.bluecrossah.com/pages/dental.php) — Blue Cross Animal Hospital's write up on periodontal disease.
◾ Differentially informative in-depth review article from the NYTimes. (http://www.nytimes.com/health/guides/disease/periodontitis/print.html)
Drug and discovery and development of MMP inhibitors
Retrieved from "https://en.wikipedia.org/w/index.php?title=Periodontitis&oldid=757450382"
https://en.wikipedia.org/wiki/Periodontitis
Categories: Inflammations Periodontal disorders
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https://en.wikipedia.org/wiki/Periodontitis
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THUNEVIN
Virginie de Valandraud Blanc
Bordeaux Blanc
Always looking for new challenges, Jean Luc Thunevin and Murielle Andraud decided a few years back to keep a plot from the Valandraud vineyard to start the production of a white wine : Blanc de Valandraud N°1 and 2 were born.
Murielle is fully in charge of this project, with the help of oenologist Thanos Fakorellis.
Since its creation in 2003, the production is divided in one first wine and a second wine which names changed in 2010 to became Château Valandraud Blanc and Virginie de Valandraud Blanc.
Technical data
Surface : 4 ha
Terroir : Clayey limestone and clay
Grape varieties : Sémillon 60 % Sauvignon blanc 35 % Sauvignon gris 5%
Age of the vines : 10 years
Ageing : 60％ 2 & 3 years barrels & 40％ Stainless steel tanks
Average production : 19 998 btles
Distributed by Thunevin SAS
TASTING NOTES
VINOUS 88-91
The 2014 Virginie de Valandraud Blanc is laced with citrus peel, crushed rocks and white flowers, all in an energetic, crystalline style best suited to drinking over the next few years. Tasted two times. -- Antonio Galloni www.thunevin.com
[email protected]
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NOTES TO THE FAMILY Issue #6, Help Yourself August 3, 2006
With arms wide and a broad smile she directed me to a solitary seat in the rear of the congregation.
"There's plenty. . . just hep yourself." The offering was so sincere I quickly scanned the sanctuary for food or beverages or token gifts often given to visitors. But there were none. And there were no other seats to be had.
The pastor spoke of what had been provided through Jesus, when it was provided, and how we could receive all that had been provided.
I'd heard it before . . .through Jesus, God provided all that we could ever ask or imagine, it was all ours as the children of God; all was provided from the foundations of the world, there was no time or distance in Jesus; and we receive our inheritance in the same manner as we had received our salvation, our freedom to serve Him. But while receiving salvation was a one-time event, receiving all that was provided was a continual process. . .you'd always have access and opportunity, but with infrequent or limited practice, receiving what you need when you need it could be frustrating if it worked at all. Having gained entry into the place of blessings we could miss all of the benefits by being ignorant of the process or simply not practicing what we know. And to top it off, the Pastor told us that although Satan is a defeated foe, he is good at encouraging Believers and others to do or say things contrary to our good. 1
It was clear that even with my best effort, serving Christ was a daunting task for a mere mortal. The more I listened to the pastor, the more I realized I was powerless to serve Jesus without Jesus. But the pastor continued . . .
He had not painted such a daunting picture to leave us prey to Satan–there was help! Our life in Christ was controlled by our tongue and while we might not be able to speak all of God's word initially, there were certain confessions that empowered us and held us safe until we could learn and apply more. 1 John 4:15 was one such Scripture confession, "Whosoever shall confess that Jesus is the Son of God, God dwelleth in him, and he in God." He explained that with God dwelling in us we had access to all His wisdom and should never be defeated or slowed in any purpose.
Confessing 1 John 4:15 was like living in Devine health and protection, like having all things provided that we could ever need, like having no fear, like having unlimited power. Whatever we would need at any time, the constant confession of 1 John 4:15 empowers us to receive it. 1 John 4:15 spelled out the whole gospel in a simple Scripture that could be easily committed to memory. But even better for those who understand that Jesus and His name are the complete word of God, whenever befuddled we could simply call out Jesus for access to the power and wisdom of God.
Jesus is available to us, all we have to do is help ourselves.
1.Satan is at work encouraging Believers to shun The Name, particularly in times of need or weakness Its application by vain use as is warned against in Exodus 20, verse 7 "Thou shalt not take the name of the LORD thy God in vain; for the LORD will not hold him guiltless that taketh his name in vain." Both Believers and non-believers have begun to use the Name as a mere exclamation, their "wow", "shucks" or "damn" not appreciating the power, and so not receiving the Blessings. Some Believers shy away from the Name wanting to avoid appearing unsophisticated, "voicing vain repetitions as heathens do." Others avoid the Name wanting to maintain an ecumenical posture. Both groups suffer weakness.
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STEP 1
S ST TE EP P 2 2
STEP 1
Place one arm through outer opening and other arm through middle opening, with the towel coming across the front of your body.
Bring other end of towel behind the back of your body.
STEP 2
Bring other end of towel behind the back of your body.
Place same arm through other outer opening and bring it up to your shoulder.
STEP 3
Place arm through other outer opening and bring it up to your shoulder.
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Why Is Community Engagement By Lodges Important?
Simply because no organisation can exist in any community in the 21 st century without the wider community understanding why it exists, what it stands for, who they are, and how people 'outside' can engage with them.
For our purposes, 'engagement' is used as a generic, inclusive term to describe the broad range of interactions between Freemasons and the public.
We need to network and get involved with our communities, with organisations such as territorial authorities (Councils), educational institutions (universities, schools), service institutions (Fire Service, St Johns), service groups (Lions, Rotary, Coastguard), sports organisations, community organisations (Plunket, Kindergarten, Probus, Seniornet) and local media organisations.
Develop engagement strategies for those individuals you already know – meet them face to face over a coffee or a sociable drink– update them on what your lodge is doing.
For those individuals you do not already know – ask all the brethren for a suggestion – put them in a list then prioritise the list and ensure someone contacts them. But don't take the low-lying fruit first, try one from the top of the tree as well.
Having established them - maintain those relationships – a simple phone call can do wonders – don't rely on people reading your emails or facebook posts to get the message!
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Gear up for summer!
TRADE IN SNOW BOOTS FOR FLIP FLOPS: BOOK SUMMER VACATION NOW!
Southwest Airlines extends schedule through the summer with new nonstop routes and fares starting as low as $49 one-way!
DALLAS—Dec. 8, 2015—Southwest Airlines Co. (NYSE: LUV) is helping beat winter blues and getting travelers in the summer spirit by extending its bookable flight schedule through Aug. 5, 2016. With the new flight schedule, the carrier is launching new nonstop routes to connect Customers to what's important to them.
Beginning June 5, 2016, Southwest will begin offering nonstop service between:
Purchase Dec. 8--14, 2015, 11:59 p.m. in the respective time zone of the originating city. Domestic travel valid June 6 through Aug.4, 2016. Domestic travel blacked out June 30 through July 5, 2016. Domestic travel is not valid on Fridays and Sundays. Fares are valid on domestic, nonstop service only. Displayed prices include all U.S. and international government taxes and fees. Rapid Rewards® Points bookings do not include taxes, fees, and other government/airport charges of at least $5.60 per one way flight. Fares are not available to/from San Juan, Puerto Rico. Seats and days are limited. See additional and complete fare rules below.
"We're building bridges between cities across our network with our bags fly free* and no change fees policies, our award-winning loyalty program, and our all-Boeing 737 fleet," said Dave Harvey, Southwest Airlines Senior Director of Network Planning and Performance. "St. Louis will now have more than 100 departures a day to more than 40 destinations including Oakland; Portland, Ore.; and Cleveland. The new nonstop routes allow for greater access to our expansive network. For example, Reno/Tahoe is getting new three times daily service to Oakland, one of the most requested routes among travelers in Northern Nevada."
Southwest also is beginning nonstop daily service between Burbank and Dallas Love Field; and new weekly service on Saturday's beginning June 11, 2016 will provide nonstop links between Denver and Buffalo; Charleston, S.C.; and Norfolk, Va. Pensacola, Fla., gains new nonstop service on Saturdays to Dallas Love Field and Kansas City.
Book summer vacations now at Southwest.com.
FARE RULES
Purchase Dec. 8--14, 2015, 11:59 p.m. in the respective time zone of the originating city. Domestic travel valid June 6 through Aug. 4, 2016. Domestic travel blacked out June 30 through July 5, 2016. Domestic travel is not valid on Fridays and Sundays. Fares are valid on domestic, nonstop service only. Displayed prices include all U.S. and international government taxes and fees. Points bookings do not include taxes, fees, and other government/airport charges of at least $5.60 per one way flight. Fares are not available to/from San Juan, Puerto Rico. Seats and days are limited. Fares may vary by destination, flight, and day of week and won't be available on some flights that operate during very busy travel times and holiday periods. Travel is available for one-way Wanna Get Away® Fares. Fares may be combined with other Southwest Airlines® combinable fares. If combining with other fares, the most restrictive fare's rules apply. Sale fares may be available on other days of week, but not guaranteed. Fares are nonrefundable but may be applied toward future travel on Southwest Airlines®, so long as you cancel your reservations at least ten minutes prior to the scheduled departure of your flight. Failure to cancel prior to departure will result in forfeiture of remaining funds on the reservation. Any change in itinerary may result in an increase in fare. Standby travel requires an upgrade to the Anytime Fare. Fares are subject to change until ticketed. Offer applies to published, scheduled service only.
ABOUT SOUTHWEST AIRLINES CO.
In its 45th year of service, Dallas-based Southwest Airlines (NYSE: LUV) continues to differentiate itself from other air carriers with exemplary Customer Service delivered by more than 48,000 Employees to more than 100 million Customers annually. Southwest proudly operates a network of 97 destinations across the United States and seven additional countries with more than 3,800 departures a day during peak travel season.
Based on the U.S. Department of Transportation's most recent data, Southwest Airlines is the nation's largest carrier in terms of originating domestic passengers boarded. The Company operates the largest fleet of Boeing aircraft in the world, the majority of which are equipped with satellite-based WiFi providing gate-to-gate connectivity. That connectivity enables Customers to use their personal devices to view video on-demand movies
and television shows, as well as nearly 20 channels of free, live TV compliments of our valued Partners. Southwest created Transfarency℠, a philosophy which treats Customers honestly and fairly, and in which low fares actually stay low. *Southwest is the only major U.S. airline to offer bags fly free® to everyone (first and second checked pieces of luggage, size and weight limits apply, some airlines may allow free checked bags on select routes or for qualified circumstances), and there are no change fees, though fare differences might apply. In 2014, the airline proudly unveiled a bold new look: Heart. The new aircraft livery, airport experience, and logo, showcase the dedication of Southwest Employees to connect Customers with what's important in their lives.
From its first flights on June 18, 1971, Southwest Airlines launched an era of unprecedented affordability in air travel described by the U.S. Department of Transportation as "The Southwest Effect," a lowering of fares and increase in passenger traffic whenever the carrier enters new markets. With 42 consecutive years of profitability, Southwest is one of the most honored airlines in the world, known for a triple bottom line approach that contributes to the carrier's performance and productivity, the importance of its People and the communities they serve, and an overall commitment to efficiency and the planet. The 2014 Southwest Airlines One Report™ can be found at SouthwestOneReport.com.
Book Southwest Airlines' low fares online at Southwest.com or by phone at 800-I-FLY-SWA.
Media Contacts:
Visit the Southwest Newsroom at swamedia.com for multi-media assets and other Company news
Media Relations Team: 214-792-4847, option 1
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Subsets and Splits
Filtered Food or Drug Texts
Retrieves entries with a token count less than 17000 that contain either '식품' or '약품', providing basic filtering of the dataset.
SQL Console for HuggingFaceFW/finepdfs
The query retrieves all entries containing both '에너지' (energy) and '자원' (resource), providing a basic filter but limited analytical value.
SQL Console for HuggingFaceFW/finepdfs
Retrieves records with a token count less than 10,000, providing a basic filter on the dataset.
Filter Short Kor Hang Test Docs
Retrieves records from the kor_hang_test dataset where the token count is less than 6000, providing a basic filter of the data.
Select Short Kor Hang Test Docs
Retrieves records from the kor_hang_test dataset where the token count is less than 5000, providing a basic filter of the data.